Compliance Manager - Eaglescliffe, County Durham, United Kingdom, TS16
Are you looking to join a forward-thinking Wealth Management company who offer an unparalleled service to the market? If so, our client is now looking to bring on board a Compliance Manager to their well-established team in the Stockton-on-Tees area.
Our client offers whole of the market advise to clients across the North East, with year on year growth.
As a compliance manager you will:
- Develop the compliance policies and procedures
- Arranging, carrying out and checking the training and competence for compliance with the relevant regulatory requirements in relation to registered individuals
- Liaising with compliance consultants when applicable
- File checks
- Work with new advisers to ensure competent
- Assist Operations Manager with recruitment of advisers
- Provide necessary training for staff
- Undertake supervisor role for all advisers
- Preparing compliance reports for board
- Maintenance of compliance registers and documents
- Assisting with the completion of regulatory returns
The successful candidate will ideally have an existing background as a Compliance Manager, along with being Diploma qualified in Financial Planning.