Compliance Manager
1 week ago
Job Title: Compliance Manager
\Salary Range: £50,000 - £65,000 per annum
\Company Overview:
\Burton Recruitment Limited is partnering with a leading Financial Planners in Deeside to find an experienced and proactive Chartered Compliance Manager.
\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:
\- \
- 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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