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Compliance Manager - City, Manchester, United Kingdom, M1


FourthLine are exclusively representing our wealth management client based in Manchester as they look to hire an experienced Compliance Manager to their growing team. Working directly with the Head of Compliance, you will take responsibility for the day to day advisory and monitoring work. This is a brand-new position and therefore you will have the chance to build the role around your skills and experience. The firm is growing and introducing new products, so it's a really exciting time to join.

They are looking for someone to relieve the Group Compliance Officer and take on the duties listed below, they have a friendly and small 'start up-esque' culture that would be great for a personable individual.

Key responsibilities will include:

  • Suitability of advice file reviews
  • Wider compliance monitoring reviews around key regulatory and business risks
  • Keeping up to date with regulatory changes impacting the firm
  • Regulatory reporting
  • Providing T&C and wider training to the firm
  • Reviews of policies and procedures as necessary
  • Ad hoc compliance project work (updating systems, etc.)

Suitable candidates will have the below experience:

  • Compliance experience within Investment management (Wealth, Private Banking,

Financial Planning)

  • Ideally a Level 4 financial planning qualification
  • Extensive file review and investment advice experience
  • Adaptable approach and capable of working independently.

Please do not hesitate to forward this information onto your network, if you or anyone you know is interested in the position then I would be happy to speak with them.