Compliance Manager, Wealth Client

4 weeks ago


Dartford, Kent, United Kingdom Talenthire Group Full time
Job Title: Compliance Manager, Wealth Client

Job Summary:

We are seeking a highly experienced Compliance Manager to join our team at Talenthire Group. As a Compliance Manager, you will be responsible for delivering regulatory oversight to appointed representative firms and registered individuals, ensuring that they adhere to Treating Customers Fairly principles.

Key Responsibilities:

  • Deliver regulatory oversight to appointed representative firms and registered individuals
  • Ensure that firms and individuals adhere to Treating Customers Fairly principles
  • Identify and mitigate customer, regulatory, reputational, and operational risks
  • Build strong relationships with appointed representative firms and registered individuals
  • Conduct annual assessments and bespoke firm visits to ensure compliance
  • Manage areas of risk within the network and identify and investigate areas of risk
  • Conduct inspection visits, complete reports, and provide coaching and feedback

Requirements:

  • High level of experience within field supervision and compliance monitoring
  • Competent assessor for firms and advisors
  • Strong relationship builder with excellent communication skills
  • QCF Level 4 or equivalent
  • Strong experience of Network/National and IFA/restricted advice models
  • Compliance and Risk qualification

What We Offer:

An excellent basic salary, car allowance, and discretionary bonus, plus the opportunity to progress in a well-respected organization.



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