Compliance Manager, Wealth Client
5 days ago
Job Summary:
We are seeking an 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 resolve 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 through supervisory activity
Requirements:
- QCF Level 4 or equivalent
- Strong experience in field supervision and compliance monitoring
- Competent assessor for firms and advisors
- Strong relationship builder with excellent communication skills
- 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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