Compliance Manager

1 month ago


Grimsby, United Kingdom PB Recruitment Consultants Ltd Full time

**A highly reputable, leading, multi-office Wealth Manager, is currently recruiting for a Compliance Manager to join its busy and friendly team, overseeing the regulatory and FCA guidelines across its group office locations.**

**An exceptional career opportunity with an organisation whose focus is very much on its employee’s career development and wellbeing, offering a very competitive base salary, hybrid working and a comprehensive benefits package.**

You must have previous experience working within the financial planning sector, and preferably hold the relevant qualifications

**Compliance Manager Responsibilities**:

- Provide regulatory guidance and advisory services to certain internal business areas.
- File reviews and checks
- Support projects ensuring compliance with regulatory and legislative requirements.
- Review and approve new client on boarding KYC in line with Group standards.
- Review and approve financial promotions.
- Respond to ad-hoc queries and new business initiatives to enable line manager(s) to meet their regulatory requirements.
- Assist with the development and implementation of Compliance and AML procedures.
- Develop and maintain ongoing management information for the Board.

**Compliance Manager Job Requirements**:

- Diploma Level 4 in Financial Planning, not essential but preferred, or on the way towards it
- Compliance experience within a similar Wealth Management, IFA or Private Banking business.
- Knowledge of relevant FCA rules
- Strong Financial Crime knowledge
- Excellent interpersonal skills.
- Good communicator, comfortable dealing with all levels of staff.

**Salary is very much dependant on level of experience, so please apply, ranging from £40,000 to £60,000, comprehensive benefits and hybrd working


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