Compliance Manager

7 days ago

Cardiff, United Kingdom Aspire Executive Search Full time

**Compliance Manager Cardiff, Salary up to £60,000 dependent upon experience. Excellent benefits and an element of Home working.**

**Are you currently a Compliance individual within the Financial Services industry looking for a more stimulating and challenging role?**

Would you like a role that is varied and pivotal to the delivery of the very best client service?

Do you want to continue your career with a firm who focus on the bigger picture and genuinely care about people and getting them to where they want to go in life through financial planning?

Then this could be the right opportunity for you.

This is a fantastic opportunity to provide a pragmatic and supportive Compliance service to a business who truly do the right thing and who put their Clients at the heart of everything that they do.

**Duties and responsibilities include**:

- Assisting the advisers in quality control
- Providing great attention to detail - Ensuring all report templates and accompanying documentation is relevant, accurate and up to date
- Monitor the quality of Paraplanning work produced by Paraplanners/Trainee Paraplanners and outsourced Paraplanners
- Keep up to date with legislation and product changes by attending and maintaining continuous professional development
- Determine ongoing compliance with internal and external policies and standards
- Identifying opportunities for improvement
- Undertake file reviews and feedback to management

In order to be suitable for this role, you will need:

- Previous experience in a Financial Services compliance role, with a bias towards file checking and ensuring that everything that is presented to a client by an advisor is fully compliant
- Familiarity with research tools and systems
- To be IT literate and familiar with Microsoft Applications such as Word and Excel. You will need to be able to use the software and any other online systems intuitively
- Great communication skills and commitment to performance excellence
- Excellent report writing skills
- A good problem solver and ability to think bigger picture
- Ability to work efficiently under own initiative with impeccable attention to detail.
- Collaborative and able to work well within the team

In return for your hard work in assisting the companies future growth and development, you will be provided with a competitive salary and an excellent benefits package which includes:

- Pension Scheme
- Flexible & Smart Working - giving you the ability to balance home-working, office location
- Bonus Scheme
- Opportunities to progress to more technical or managerial type roles

In addition to all the benefits you would expect from an excellent employer, you will be given the utmost encouragement and support to develop your career further and study towards Financial Services examinations.

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