Compliance Expert for Regulatory Excellence

1 week ago


Buckley, Flintshire, United Kingdom Clayton Davies Full time
About the Role

This exciting opportunity at Clayton Davies in Flintshire, operating in the wealth management space, seeks an experienced Senior Compliance Manager to drive their next period of growth.

Key Responsibilities
  • Expert Compliance Guidance: Provide authoritative advice and guidance to directors and staff on regulatory requirements, promoting a culture of compliance within the business.
  • Regulatory Knowledge and Skills: Review and update policies and procedures, handle technical queries, monitor changes, conduct file reviews, and contribute to meetings and publications.
  • Regulatory Updates: Stay informed about regulatory changes and communicate them proactively to colleagues.
  • File Reviews and Improvements: Conduct comprehensive file reviews to ensure compliant advice and identify areas for improvement, implementing necessary changes.
  • Culture Building: Engage with colleagues through meetings, presentations, and publications to foster a positive compliance culture.
  • Client and Colleague Communication: Monitor and communicate regulatory changes to clients and colleagues.
  • T&C Development: Contribute to effective Terms and Conditions arrangements within the firm.
Requirements
  • RQF Diploma: RQF level 4 Diploma in Regulated Financial Planning (or equivalent).
  • Experience: Experience in a Compliance related role within the wealth management space.
Compensation

The estimated salary for this position is £60,000 - £80,000 per annum, commensurate with experience.


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