Compliance Manager
2 days ago
Compliance Manager / T&C / CISI / CII / Level 4 / Chartered / Compliance Officer / SMF16/17 / Compliance Director / File Review / Compliance Assistant / Compliance Monitoring / Auditing / 1st Line / 2nd Line / Risk Management / Compliance Oversight
An award-winning financial services business are looking to hire an experienced Compliance Manager to help run their dynamic compliance function. The two key areas of focus will be compliance monitoring / oversight and T&C.
The firm have multiple offices across the north-west and can look at prospective employees in several locations in the region.
**Key Responsibilities within the role will include;**
- To sit on the Operations Board which will drive day to day operations of the business
- To conduct pre/post-sale file reviews with the focus being on suitability of advice and client outcomes
- Own, improve and expand the compliance framework, consumer duty implementation plan and compliance diary
- To work with the external compliance partner to design, implement and embed internal processes
- Working with this partner to review Compliance-owned policies, and procedures to ensure ongoing maintenance of these considering business and regulatory change.
- Delivery of compliance related projects
- Act as a day-to-day contact for regulatory compliance matters for relevant areas within the business.
- To lead the T+C scheme with support from Financial Planning partners whilst designing/implementing/supporting any training needs highlighted.
- Opportunity to progress to FCA Senior Management Function - compliance manager.
- Dealing with any FCA thematic reviews.
**What's on offer?**
In this role, you will have the opportunity to progress to FCA Senior Management Function - compliance manager.
- Other benefits include:_
- 28 days’ holiday per annum + bank holidays
- on site free parking
- employer pension contribution of 8%
- private medical insurance
- flexible/hybrid working
- annual firm wide success bonus
- extensive learning & development opportunities and study support
**What next?**
Additionally, refer a friend or colleague to us and receive £200 in vouchers if we assist them in securing a new career.
Compliance Manager / T&C / CISI / CII / Level 4 / Chartered / Compliance Officer / SMF16/17 / Compliance Director / File Review / Compliance Assistant / Compliance Monitoring / Auditing / 1st Line / 2nd Line / Risk Management / Compliance Oversight
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