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Compliance Manager - City, Manchester, United Kingdom, M1

£50-60k

SALARY: £60,000 + Benefits

The role will involve assisting the Compliance Director in the day-to-day management of the Compliance Function and undertaking the day-to-day supervision and line management of Compliance Function Staff.

Key responsibilities include:

  • Acting as the Deputy Compliance Officer for the business, providing day-to-day support and assistance to the CF10/SMF16 and carrying out all of the aspects of that role in the absence of the Compliance Director.
  • Responsible for training, development and mentoring of the Risk and Compliance Analyst and the Compliance Monitoring Analyst
  • Representing the Compliance Function at Executive Management Group Level.
  • Assisting the Compliance Director for ensuring the appropriateness of the Company's overall Compliance Monitoring Programme taking account of internal risk assessments, external regulatory developments and the Company's business plan.
  • Taking main responsibility for the delivery of the Company's File Review Programme including all aspects of the work implicit in that Programme including but not limited to Client Onboarding, Communication, and ensuring the Suitability of Pension Transfers recommendations and any Investment Schemes.
  • Undertaking or assisting in other Compliance Reviews and Monitoring activities in accordance with the timetable set out in the Compliance Monitoring Programme.
  • Undertaking or assisting in other Compliance Reviews and Monitoring activities in accordance with the timetable set out in the Compliance Monitoring Programme.

The Person:

  • Experience in a similar (compliance/audit) role gained within the Financial Services Industry, preferably in the Financial Adviser / Pensions Transfers sector.
  • Relevant professional qualifications, preferably including an appropriate qualification relating to Pension Transfers (e.g. CII Certificate in Pension Transfer Advice, Diploma in Financial Planning + AF7 Pension Transfers, G60 paper of the Advanced Financial Planning Certificate).
  • Detailed knowledge of the FCA handbook with a detailed understanding of the requirements relating to Pension Transfers Business.

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.