Compliance Manager

1 month ago

deeside, United Kingdom Merje Full time

Our client, an award winning independent financial advice firm are looking for a Compliance Manager to join the team on a permanent basis.

As Compliance Manager you will need to ensure the business meets all regulatory obligations and to support the Director in their fulfilment of SMF16/17 responsibilities and wider compliance duties. Build a positive ethical firm culture that puts our clients' interests first, protects them from harm and safeguards the integrity of the firm through pro-active risk management, monitoring, training and process improvement.
Role Responsibilities:

  • Assist the Compliance Officer to complete any actions arising from the firm's Business Diary and Compliance Monitoring Programme
  • Assist the Compliance Officer with the firm's Complaints Handling process
  • Keep abreast of regulatory change
  • Assist the Compliance Officer with preparation for meetings with the Board and General Manager. Undertake any actions arising from the meetings as directed.
  • Ensure team's compliance with the Financial Services and Markets Act 2000 and the relevant FCA rules at all times
  • Ensure team's compliance with, TCF, SMCR, T&C and financial crime (anti-money laundering, data security, antibribery, fraud and corruption) procedures of the firm at all times
  • Challenge or report, where appropriate, the advice provided by advisers
  • Assist in post-sale review of at least 10% of completed cases each month
  • Assist in pre-sale reviews where the criterion for pre-approval is met and in 100% of cases for non-CAS advisers.
  • Manage the workflow of the pre-approvals so it doesn't negatively impact the client experience
  • Identify risk areas, propose solutions for managing risk and implement across the business

Key Skills & Experience:

  • 5+ years compliance experience within an independent financial planning firm
  • Ideally Chartered or at least Diploma qualified (Level 4) with additional qualification in other advice areas a plus
  • Knowledge of FCA requirements in relation to financial advice
  • Demonstrable understanding of Retirement Income Advice would be a plus
  • Excellent organisation, time management and communication skills
  • Good attention to detail
  • Proactive nature with ability to work on own initiative
  • Excellent interpersonal, listening, numerical and IT skills
  • Personable, friendly manner and the ability to build good working relationships with advisers and the rest of the firm
  • High level of organisational, IT and analytical skills
  • Good written and oral communication skills, ensuring that communication is appropriate to the audience and outcome required
  • Ensure a team approach is maintained in a professional manner with an energetic and enthusiastic approach to problem solving

Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately, your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.

If you would like this job advertisement in an alternative format, please contact MERJE directly.


JBRP1_UKTJ

  • Compliance Manager

    1 month ago

    Deeside, United Kingdom Merje Full time

    Our client, an award winning independent financial advice firm are looking for a Compliance Manager to join the team on a permanent basis. As Compliance Manager you will need to ensure the business meets all regulatory obligations and to support the Director in their fulfilment of SMF16/17 responsibilities and wider compliance duties. Build a positive...

  • Compliance Manager

    5 days ago

    Deeside, United Kingdom MERJE Full time

    Our client, an award winning independent financial advice firm are looking for a Compliance Manager to join the team on a permanent basis. As Compliance Manager you will need to ensure the business meets all regulatory obligations and to support the Director in their fulfilment of SMF16/17 responsibilities and wider compliance duties. Build a positive...

  • Compliance Manager

    5 days ago

    Deeside, United Kingdom Burton Recruitment Limited Full time

    Job Description We are partnered with a leading Financial Planners based in Deeside, seeking an experienced and proactive Compliance Manager to join their team. This is an exciting opportunity to lead compliance initiatives in a dynamic and growing environment, ensuring regulatory adherence and fostering a culture of excellence. Key Responsibilities: ...

  • Compliance Manager

    2 weeks ago

    Deeside, United Kingdom Burton Recruitment Limited Full time

    We are partnered with a leading Financial Planners based in Deeside, seeking an experienced and proactive Compliance Manager to join their team. This is an exciting opportunity to lead compliance initiatives in a dynamic and growing environment, ensuring regulatory adherence and fostering a culture of excellence.Key Responsibilities:Leadership & Oversight:...

  • Compliance Manager

    2 weeks ago

    Deeside, United Kingdom Burton Recruitment Limited Full time

    We are partnered with a leading Financial Planners based in Deeside, seeking an experienced and proactive Compliance Manager to join their team. This is an exciting opportunity to lead compliance initiatives in a dynamic and growing environment, ensuring regulatory adherence and fostering a culture of excellence.Key Responsibilities:Leadership & Oversight:...

  • Compliance Manager

    5 days ago

    Deeside, United Kingdom MERJE Full time

    Our client, an award winning independent financial advice firm are looking for a Compliance Manager to join the team on a permanent basis. As Compliance Manager you will need to ensure the business meets all regulatory obligations and to support the Director in their fulfilment of SMF16/17 responsibilities and wider compliance duties. Build a positive...

  • Compliance Manager Lead

    16 hours ago

    Deeside, Flintshire, United Kingdom Burton Recruitment Limited Full time

    Job OverviewWe are partnering with a leading Financial Planners in the UK to find an experienced Regulatory Compliance Director. This is an exciting opportunity to work in a dynamic environment, ensuring regulatory adherence and fostering a culture of excellence.About the RoleThe successful candidate will lead compliance initiatives, supervise and mentor...

  • Chartered Compliance Manager

    2 days ago

    Deeside, United Kingdom Burton Recruitment Limited Full time

    We are partnered with a leading Financial Planners based in Deeside, seeking an experienced and proactive Chartered Compliance Manager to join their team. This is an exciting opportunity to lead compliance initiatives in a dynamic and growing environment, ensuring regulatory adherence and fostering a culture of excellence.Key Responsibilities:Leadership &...

  • Chartered Compliance Manager

    2 days ago

    Deeside, United Kingdom Burton Recruitment Limited Full time

    We are partnered with a leading Financial Planners based in Deeside, seeking an experienced and proactive Chartered Compliance Manager to join their team. This is an exciting opportunity to lead compliance initiatives in a dynamic and growing environment, ensuring regulatory adherence and fostering a culture of excellence.Key Responsibilities:Leadership &...

  • Compliance Risk Manager

    2 weeks ago

    Deeside, Flintshire, United Kingdom Merje Careers Full time

    Regulatory Compliance ExpertMerging risk management and regulatory affairs expertise, we seek a senior Regulatory Compliance Expert to lead the way in our Compliance Team. Reporting directly to the Director, you will be responsible for ensuring the business meets its regulatory obligations.Main Responsibilities:Lead the development of effective compliance...

  • Compliance Officer

    2 weeks ago

    Deeside, Flintshire, United Kingdom Merje Full time

    About the RoleMerje is seeking an experienced Compliance Manager to join their team on a permanent basis. As a Compliance Manager, you will play a critical role in ensuring the business meets all regulatory obligations and supports the Director in fulfilling their responsibilities.The ideal candidate will have 5+ years of compliance experience within an...

  • Compliance Manager

    1 month ago

    Deeside, Flintshire, United Kingdom Merje Full time

    Our client, an award winning independent financial advice firm are looking for a Compliance Manager to join the team on a permanent basis. As Compliance Manager you will need to ensure the business meets all regulatory obligations and to support the Director in their fulfilment of SMF16/17 responsibilities and wider compliance duties. Build a positive...

  • Compliance Manager

    2 weeks ago

    Deeside, Wales, Flintshire, United Kingdom Burton Recruitment Limited Full time

    We are partnered with a leading Financial Planners based in Deeside, seeking an experienced and proactive Compliance Manager to join their team. This is an exciting opportunity to lead compliance initiatives in a dynamic and growing environment, ensuring regulatory adherence and fostering a culture of excellence.Key Responsibilities:Leadership & Oversight:...

  • Compliance Manager

    3 weeks ago

    Deeside, Wales, United Kingdom MERJE Full time

    Our client, an award winning independent financial advice firm are looking for a Compliance Manager to join the team on a permanent basis. As Compliance Manager you will need to ensure the business meets all regulatory obligations and to support the Director in their fulfilment of SMF16/17 responsibilities and wider compliance duties. Build a positive...

  • Compliance Administrator

    6 months ago

    Deeside, United Kingdom Proactive Personnel Full time

    **Immediate Start - Permanent - Competitive Salary - Development Opportunities** I am currently recruiting on behalf of a hugely successful haulage business who are looking to add an enthusiastic, motivated Compliance Administrator to their team. They are brilliant at retaining and developing staff, largely due to the exceptional training programs,...

  • Compliance Assistant

    3 weeks ago

    Deeside, United Kingdom Burton Recruitment Limited Full time

    We are partnered with a leading Financial Planners based in Deeside, who are seeking a proactive and detail-oriented Compliance Assistant to join their team. This is an exciting opportunity to work in a dynamic environment, ensuring compliance and contributing to the smooth operation of the business.Key Responsibilities:Risk Assessment: Reviewing client...

  • Compliance Assistant

    3 weeks ago

    Deeside, United Kingdom Burton Recruitment Limited Full time

    Job Description We are partnered with a leading Financial Planners based in Deeside, who are seeking a proactive and detail-oriented Compliance Assistant to join their team. This is an exciting opportunity to work in a dynamic environment, ensuring compliance and contributing to the smooth operation of the business. Key Responsibilities: Risk Assessment :...

  • Compliance Assistant

    3 weeks ago

    Deeside, United Kingdom Burton Recruitment Limited Full time

    We are partnered with a leading Financial Planners based in Deeside, who are seeking a proactive and detail-oriented Compliance Assistant to join their team. This is an exciting opportunity to work in a dynamic environment, ensuring compliance and contributing to the smooth operation of the business.Key Responsibilities:Risk Assessment: Reviewing client...

  • Regulatory Compliance Director

    16 hours ago

    Deeside, Flintshire, United Kingdom Burton Recruitment Limited Full time

    About the OpportunityWe are seeking an experienced Compliance Manager Lead to join our team. The successful candidate will be responsible for leading compliance initiatives, supervising and mentoring staff, and developing the firm's Compliance Monitoring Programme.Main ResponsibilitiesLeadership & Oversight: Supervise and mentor compliance staff to ensure...

  • Compliance Manager/Senior Manager

    1 month ago

    Deeside, Flintshire, United Kingdom Merje Full time

    Our client, an award winning independent financial advice firm are looking for a Compliance Manager to join the team on a permanent basis. As Compliance Manager you will need to ensure the business meets all regulatory obligations and to support the Director in their fulfilment of SMF16/17 responsibilities and wider compliance duties. Build a positive...