Financial Services Compliance Manager

3 weeks ago


York, York City, United Kingdom BWD Search & Selection Full time
Job Title: Financial Services Compliance Manager

A highly skilled and experienced Financial Services Compliance Manager is sought to oversee the compliance integrity of our business and drive the professional growth of our advisers. This role offers an exciting opportunity for a regulatory expert with a knack for developing talent in the financial services sector.

Key Responsibilities:

  • Adviser Development & Mentorship: Provide ongoing coaching and development to advisers, ensuring they are equipped with the knowledge and tools to excel in their roles.
  • Conduct regular one-to-one sessions with advisers, focusing on both their sales performance and adherence to regulatory procedures.
  • Oversee the development of junior advisers, guiding them through the competency framework and conducting performance observations.
  • Lead advisers through the advice process, ensuring they adhere to best practices and maintain high standards of client service.
  • Compliance Oversight & Management: Implement and maintain robust compliance procedures, ensuring adherence to FCA regulations and internal policies.
  • T&C responsibilities for the team.
  • Conduct comprehensive reviews of client files to ensure compliance with the firm's standards and regulatory expectations.
  • Ensure all advisers hold current statements of professional standing and meet continuing professional development (CPD) requirements.
  • Regularly report compliance risks and produce key management information (MI) for the senior leadership team.
  • Training & Continuous Improvement: Develop and deliver training programmes to enhance the knowledge and skills of the advisory team.
  • Ensure that all team members undertaking insurance distribution activities meet FCA expectations.
  • Stay up-to-date with industry trends, regulatory changes, and economic developments, ensuring both your personal and team's knowledge remain current and relevant.

About You:

We are looking for an individual with a strong background in compliance within the financial services sector, paired with excellent people management skills. You should have a proven ability to develop talent, ensuring that both senior and junior advisers are supported in reaching their full potential.

Requirements:

  • Strong understanding of FCA regulations and compliance frameworks.
  • Level 4 and CeMAP or equivalent qualified
  • Experience in training, mentoring, and developing financial advisers.
  • Excellent communication and interpersonal skills, with the ability to engage at all levels.
  • Highly organised with the ability to manage multiple priorities.
  • Strong analytical and reporting skills, with an attention to detail.
  • Computer literate, with proficiency in industry software such as back office systems and provider tools.

Why Us:

This is a unique opportunity to take on a challenging yet rewarding role where you can directly influence both the compliance framework of the business and the growth of our adviser team. With a competitive salary package of up to £75k hybrid, you will be well-rewarded for your hard work and dedication.



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