Compliance Risk Manager

3 weeks ago


Coventry, Coventry, United Kingdom Clayton Davies Full time

We are seeking an experienced Compliance Risk Manager to join our team at Clayton Davies.

The estimated salary for this role is £60,000 - £80,000 per annum, depending on experience.

Job Description:

Company Overview: Our client, a successful financial services firm operating in the wealth management space, is looking for a Compliance Risk Manager to provide full compliance services and manage relationships with regulatory bodies.

Key Responsibilities:

  • Manage the FCA relationship and be responsible for completion of all FCA reporting duties.
  • Horizon scan future compliance issues and facilitate mitigating actions with the firm's management team.
  • Ongoing management of a centralised investment proposition.
  • Design and implementation of new regulations.
  • Management of AML checks and complaints.
  • Carrying out file reviews and checking all documentation.
  • Preparing and reviewing business compliance KPIs.
  • Reviewing and signing off literature against FCA Financial Promotions rules.

Required Skills and Qualifications:

  • Be qualified in the Diploma in Financial Planning (or equivalent).
  • Experience of developing a strong control environment within the financial services sector.
  • Solid working knowledge of COBS, ICOBS, and MCOBS.


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