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Compliance Manager

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  • Ref: JH3011

· This is a compliance manager role working with a small but highly successful and growing team of Chartered Financial Planners based within a Chartered Accountancy practice

· The successful candidate will be responsible for overseeing a diverse range of compliance duties

Compliance Manager responsibilities include...

· Maintain knowledge of regulatory requirements and industry specific compliance processes
· Review and modify written business processes to reflect industry change and best practice
· Monitor compliance with the firm’s new business process
· Monitor compliance with the firm’s ongoing client service agreements
· Carry out file reviews: 100% for non-CAS advisers, 10% for CAS advisers, and 100% for defined high-risk business
· Produce six monthly KPI reports
· Ensure that software is adequately maintained to provide oversight and monitoring in all areas
· Complete and submit returns required by the regulator
· Carry out the financial planning team’s annual competency tests and training
· Complaints recording and handling
· Other compliance duties as required

Compliance Manager requirements include...


· Level 4 CII Diploma in Financial Planning

· Minimum 3 years’ experience working in a financial services compliance role


· CII Advanced Diploma in Financial Planning

· Chartered Financial Planner

Core Skills

· The candidate must be a self-starter with a strong work ethic, able to organise themselves without close supervision, able to work with the team, able to prioritise tasks and handle large amounts of data and paperwork efficiently

· The candidate should have a high level of analytical ability, a keen eye for detail and a thorough approach

· The candidate must also have an ability to handle pressure and meet tight deadlines whilst also being personable and a team player

Essential Work Skills

  • · Familiarity with MS Office, particularly Word, Excel and Outlook

· Familiarity with financial planning back office software

· Knowledge of FCA regulations and industry specific compliance procedures

· Research and analysis skills

· Able to produce high quality, accurate reports, report to senior management and make reasoned recommendations as appropriate

· 8:45am – 5pm Monday to Friday

· 25 days annual leave plus 8 days bank holiday leave

· Contributory Company Pension Scheme

· Salary range £35,000 - £40,000 depending on qualifications and experience

Consultant contact