Assistant Compliance Manager

1 month ago


UK, UK, United Kingdom Clayton Davies Full time

Our client, a successful financial planning firm, are looking for an Assistant Compliance Manager to join their successful Compliance team.


Key Responsibilities:


  • Execute the Compliance Monitoring Plan
  • Keep abreast of regulatory developments and publications from the FCA and their Compliance Consultants to review and analyse that information and summarise the developments for the Compliance Director and outline the potential impact and actions that may need to be considered / taken
  • Improve and develop additional policies and procedures as the group risk and compliance function continues to develop and the regulatory landscape continues to change
  • Ensure there is appropriate communication and training for our compliance policies
  • Prepare a full set of bespoke Compliance Policies and provide training on those policies to all new Offices / Advisers
  • Keep all bespoke policies across the company up to date ensuring all staff are aware of the changes and any new processes are implemented into the Office successfully
  • Keep all compliance registers up to date across the business



Experience Required:


  • Previous experience of undertaking a similar role ideally in a Wealth Management company
  • 5+ years preferred compliance experience
  • Proven track record in implementing regulatory improvement and change
  • Strong knowledge of FCA regulation


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