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Compliance Manager

2 months ago

Manchester, United Kingdom Clayton Davies Full time
Job Description

Job Description:


This is an exciting opportunity to join a well-established Manchester based firm operating in the wealth management space who are seeking an experienced Compliance Manager to support their next period of growth. For the right candidate this in an excellent opportunity to help shape the firms future compliance strategy and offers the opportunity to become the SMF 16 role holder in the future. A young and vibrant team led by a senior management team who are engaged and very active within the firm.


The role will involve taking responsibility for the following;


  • Responsible for providing expert compliance advice and guidance to the directors and staff within the business, ensuring adherence to regulatory requirements and promoting a culture of compliance within the business.
  • The Compliance Manager will require the requisite knowledge and skills to review and update regulatory policies and procedures, handle FCA technical queries, monitor regulatory changes, conduct file reviews, and contribute to staff and board meetings and publications.
  • Stay updated on regulatory changes and proactively communicate them to colleagues.
  • Conduct comprehensive file reviews to ensure that the firm’s advice is compliant and delivers good outcomes for clients. To identify areas for improvement and implement necessary changes.
  • Engage with all colleagues through meetings, presentations, and publications to build a positive culture.
  • Proactively monitor and communicate regulatory changes to clients and colleagues.
  • Contribute to the development and delivery of effective T&C arrangements within the firm. This role will support the firm’s T&C supervisor.



Key Requirements;


  • RQF level 4 Diploma in Regulated Financial Planning (or equivalent).
  • Experience in a Compliance related role within the wealth management space.
  • Strong knowledge of FCA regulations and their application within financial services.
  • Comprehensive understanding of FCA Conduct of Business rules, financial services markets, compliance processes and structures, and FCA applications.