Compliance Risk Manager

2 days ago


Bath, Bath and North East Somerset, United Kingdom Cathedral Appointments | South West Recruitment Full time

Job Overview: We are seeking a highly skilled Compliance Risk Manager to join our client's team in Somerset/South Devon. This is a fantastic opportunity for someone with a passion for regulatory compliance and risk management to take their career to the next level.

The successful candidate will have a minimum of 3 years' experience in compliance within IFA/Wealth Management, with a strong understanding of FCA regulations. A Level 4 CII certification or working towards it is also required. The ideal candidate will be a strategic thinker with excellent communication and organisational skills.

The key responsibilities of this role include:

  • Managing compliance monitoring plans and audit files to ensure operational integrity
  • Collaborating with the team on governance reviews and identifying areas for improvement
  • Developing and delivering training programs to ensure staff are equipped with compliance knowledge
  • Monitoring conduct risks and managing conflicts of interest

In return for your hard work and dedication, you will receive a competitive salary of £42,000 - £52,000 per annum, plus benefits including 25 days annual leave + bank holidays, pension scheme 3% employer contribution, SSP, and DIS x 2 salary.

This is an exciting opportunity for a motivated and experienced Compliance Risk Manager to join a reputable Financial Services firm and contribute to the success of the team.



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