Aircraft Compliance Manager

4 weeks ago


Fareham, Hampshire, United Kingdom Saltus Full time
Compliance Manager Job Description

We are seeking an experienced Compliance Manager to join our team at Saltus. As a key member of our Financial Planning Leadership Team, you will be responsible for building and delivering a robust first-line function and strategy at Saltus Financial Planning.

Key Responsibilities:
  • Support the Financial Planning Leadership Team with key decisions on distribution strategies to ensure the provision of best-in-class financial advice.
  • Advise the FP Leadership Team on changes to the Advice framework and provide consultation on horizon scanning and consumer duty compliance.
  • Provide oversight of training and competency for our existing and new advisers, including tracking their progress to Competent Adviser Status.
  • Gather annual evidence of competency for advisers and help drive higher standards and efficiency in the process.
  • Develop and maintain the Adviser Bonus Overlay and paraplanning Bonus Overlay.
  • Process and analyze MI on various data points, including our approach to supporting vulnerable clients and annual reviews.
  • Report any breaches or conflicts of interest to the Chief Compliance Officer.
  • Investigate errors within the team where there is potential for client harm and write to clients to ensure they are not affected financially.
  • Maintain the Advice Guide in respect of Compliance requirements and legislation change.
  • Work with the FP Training Manager to ensure training is presented and logged correctly.
Requirements:
  • Previous experience in a first-line environment, preferably establishing a team or growing a team within compliance or training and competency.
  • Degree-educated with an excellent understanding of financial planning/investment management and client needs.
  • Sound working knowledge of the FCA Handbook, particularly on Financial Crime Prevention and Training and Competency.
  • Ability to work independently and have a good bedside manner with advisor teams.
  • Proficient computer skills, Microsoft Office Suite.
  • Willingness to travel to office sites as required.
What We Offer:
  • Salary range £60,000 – £75,000 dependent on experience.
  • 28 days' holiday (plus bank holidays and birthday).
  • Study assistance, life assurance, income protection, and pension.
  • Access to our flexible benefits platform.
  • Part-time or flexible hour working welcome to apply, with salary and benefits offered on a pro-rate basis.


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