Compliance Manager

1 week ago


Deeside, Flintshire, United Kingdom Burton Recruitment Limited Full time

Job Title: Compliance Manager

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Salary Range: £50,000 - £65,000 per annum

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Company Overview:

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Burton Recruitment Limited is partnering with a leading Financial Planners in Deeside to find an experienced and proactive Chartered Compliance Manager.

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Key Responsibilities:

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  • Lead compliance initiatives and ensure regulatory adherence in a dynamic environment.\
  • Supervise and mentor compliance staff to ensure team effectiveness and personal development.\
  • Develop and maintain the firm's Compliance Monitoring Programme, ensuring its alignment with regulatory changes.\
  • Risk assessments for new and existing clients, including anti-money laundering (AML) evaluations and enhanced due diligence reviews.\
  • Keep the firm updated on FCA guidelines, ensuring compliance with relevant regulations such as TCF, SMCR, and financial crime policies.\
  • Manage the firm's complaints process, ensuring issues are resolved efficiently and in line with regulatory requirements.\
  • Design and deliver training programs to upskill staff, focusing on supporting team members working towards Competent Adviser Status (CAS).\
  • Audit and reporting tasks, including internal audits, compliance reports, and MI reporting for internal and external purposes.\
  • Decision-making authority for high-risk business cases and escalated compliance matters.\
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Key Skills and Qualifications:

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  • Leadership abilities, proven track record of managing teams and mentoring staff.\
  • In-depth understanding of FCA regulations, AML requirements, and financial planning products.\
  • Strong problem-solving skills, with the ability to identify and mitigate risks effectively.\
  • Excellent verbal and written communication, with the ability to present compliance updates to diverse stakeholders.\
  • High level of attention to detail and ability to manage multiple priorities.\
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Benefits:

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  • Competitive salary package between £50-65k, depending on experience.\
  • Performance-based incentives and salary increments.\
  • Flexible working arrangements, including hybrid working (minimum two office days per week).\
  • Pension scheme with 5.5% employer contributions.\
  • Health and life insurance, income protection, and critical illness cover.\
  • 25 days holiday plus statutory holidays, with increases for service length.\
  • Free parking and a supportive work environment.\


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