Compliance Manager

1 day ago


Chester, 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.


  • Compliance Manager

    3 weeks ago


    Chester, 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...

  • Compliance Manager

    3 weeks ago


    Chester, 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...

  • Compliance Manager

    2 weeks ago


    Chester, United Kingdom MERJE Full time

    Job Description 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...

  • Compliance Manager

    1 week ago


    Chester, Cheshire, United Kingdom Widener University Full time

    Are you a seasoned contracts professional looking for a new challenge? Look no further than Widener University's Contract Manager role! As a key member of the Fiscal Operations & Risk Management team, you will oversee the administration and management of all university contracts.This role requires a strong understanding of contract law and legal terminology,...


  • Chester, Cheshire, United Kingdom MERJE Full time

    At MERJE, we are seeking a highly skilled Compliance Risk Management Professional to join our team on a permanent basis.The ideal candidate will have 5+ years of experience in compliance within an independent financial planning firm and hold Chartered or at least Diploma qualified (Level 4) with additional qualification in other advice areas a plus.Key...

  • Compliance Director

    4 weeks ago


    Chester, Cheshire, United Kingdom MERJE Full time

    Head of Compliance SMF16 Role SummaryOur client, a leading UK SME lender, is seeking a seasoned compliance leader to join their leadership team. As the Head of Compliance, you will play a pivotal role in ensuring the firm remains fully compliant with FCA regulations while fostering a robust compliance culture.Key Responsibilities:Lead compliance efforts...

  • Compliance Lead

    6 months ago


    Chester, United Kingdom Specialist Motor Finance Limited Full time

    **Compliance Lead** Location - Kingsfield Court, Chester Full Time/ Permanent **Salary**: dependant on experience **The Role**: This role will operate independent of business operations to provide proficient advice and assist SMFL on a wide range of compliance matters, including regulatory and conduct risk issues, to ensure ongoing compliance with its...


  • Chester, Cheshire, United Kingdom Aimée Willow Connex Full time

    Aimée Willow Connex seeks a seasoned Compliance Risk Manager to oversee the firm's compliance framework, ensuring adherence to regulatory requirements and fostering a positive compliance culture. Job Description:We are looking for a highly experienced professional with extensive knowledge of the relevant regulatory landscape, particularly FSMA, CCA, and FCA...


  • Chester, United Kingdom HAYS Full time

    Compliance Administrator | Chester | £23,000 Your new company Join a reputable local organisation that specialises in hospitality leasing across the UK. Based in Chester, this growing company is looking for a fantastic administrative professional to join their property help desk team, supporting with administration and compliance processes.Your new role You...

  • Compliance Engineer

    5 days ago


    Chester, Cheshire, United Kingdom EA Technology Full time

    As a key member of our team, you will play a crucial role in ensuring our products meet all regulatory and legislative requirements across global markets.About the Role:Ensure product compliance with mandatory approvals and legislative standards across relevant regions.Manage and coordinate test programs with external suppliers and testing organizations to...


  • Chester, United Kingdom Michael Page Full time

    To manage and implement statutory testing obligations and planned preventative maintenance programs all in line with the guidance and support of the Senior Cost & Contract Manager. Client Details A leading community pub group running over 1,400 predominantly wet-led community pubs based in Chester. Community is at the heart of their mission, offering...


  • Chester, United Kingdom HAYS Full time

    Compliance Administrator | Chester | £23,000 Your new company Join a reputable local organisation that specialises in hospitality leasing across the UK. Based in Chester, this growing company is looking for a fantastic administrative professional to join their property help desk team, supporting with administration and compliance processes.Your new role...


  • Chester, United Kingdom HAYS Full time

    Compliance Administrator | Chester | £23,000 Your new company Join a reputable local organisation that specialises in hospitality leasing across the UK. Based in Chester, this growing company is looking for a fantastic administrative professional to join their property help desk team, supporting with administration and compliance processes.Your new...


  • Chester, United Kingdom CV-Library Full time

    To manage and implement statutory testing obligations and planned preventative maintenance programs all in line with the guidance and support of the Senior Cost & Contract Manager. Client Details A leading community pub group running over 1,400 predominantly wet-led community pubs based in Chester. Community is at the heart of their mission, offering...


  • Chester, United Kingdom Michael Page Full time

    To manage and implement statutory testing obligations and planned preventative maintenance programs all in line with the guidance and support of the Senior Cost & Contract Manager.Client DetailsA leading community pub group running over 1,400 predominantly wet-led community pubs based in Chester. Community is at the heart of their mission, offering fantastic...


  • Chester, United Kingdom Irwin & Colton Full time

    Interim Construction Compliance Project Manager UK (Flexible, with UK-wide travel) Day rate £450 (outside IR35) Irwin and Colton have been engaged by a renowned infrastructure and facilities services organisation to recruit a Construction Compliance Manager.This senior role is pivotal in driving a positive health and safety culture across an extensive and...


  • Chester, Cheshire, United Kingdom MERJE Ltd Full time

    Head of Compliance RoleReporting to the Chief Risk & Compliance Officer, we are seeking a seasoned compliance professional to lead our compliance efforts and ensure adherence to regulatory obligations.About the Role:Lead compliance efforts across the firm, working closely with the Chief Risk & Compliance Officer to ensure adherence to regulatory obligations,...


  • Chester, Cheshire, United Kingdom Heat Recruitment Ltd Full time

    A leading waste management business is seeking an experienced Environmental Compliance Specialist to join their team. This role offers a competitive salary, bonus, and car package, as well as opportunities for growth and development.The successful candidate will have a strong background in environmental compliance, with experience in waste management and a...


  • Chester, United Kingdom Gleeson Recruitment Group Full time

    Role - Property Compliance Coordinator Location- Chester (Hybrid) Salary- £32k-£36k Your role as Property Compliance Coordinator This role is working for a well established hospitality client who are known for their family-like culture and company values. They are now seeking 2 x Property / Facilities Management Compliance Coordinators and you will...


  • Chester, United Kingdom CV-Library Full time

    Role - Property Compliance Coordinator Location- Chester (Hybrid) Salary- £32k-£36k Your role as Property Compliance Coordinator This role is working for a well established hospitality client who are known for their family-like culture and company values. They are now seeking 2 x Property / Facilities Management Compliance Coordinators and...