Compliance Expert

1 week ago


Deeside, Flintshire, United Kingdom Clayton Davies Ltd Full time
Job Title: Senior Compliance Manager

About the Role:

We are seeking a highly experienced Senior Compliance Manager to join our team at Clayton Davies. This is an exciting opportunity to work with a well-established firm in the wealth management space.

Key Responsibilities:

  • Provide expert compliance advice and guidance to directors and staff, ensuring adherence to regulatory requirements.
  • Review and update regulatory policies and procedures, handle FCA technical queries, and monitor regulatory changes.
  • Conduct file reviews to ensure compliant advice and good outcomes for clients.
  • Engage with colleagues through meetings, presentations, and publications to build a positive culture.
  • Proactively communicate regulatory changes to clients and colleagues.
  • Contribute to T&C arrangements within the firm.

Requirements:

  • RQF level 4 Diploma in Regulated Financial Planning (or equivalent).
  • Experience in a Compliance related role within the wealth management space.

Salary Range: £60,000 - £80,000 per annum, dependent on experience.



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