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Compliance Partner - 2nd Line Client File Review Specialist - Leicester, Leicestershire, United Kingdom, LE1


Compliance Partner - 2nd line Client File Review Specialist


C £45,000 p.a. plus discretionary bonus and fantastic benefits

  • A unique Compliance role that will offer you the opportunity to grow your knowledge and become a matter expert in your field whilst dealing with prestige and high network professionals
  • Are you looking to work for a company who are exceptional in their field with an outstanding reputation and offer training and growth for their employees?
  • Do you have previous experience in compliance and are meticulous and thorough in all aspects of your work?

The Company:

Eileen Richards Recruitment are working with our client who are a locally based firm known throughout the Midlands and beyond for their exceptional reputation and outstanding results. The working environment is open, diverse and energetic, with a team who are exceptional in their support, friendliness and cohesion.

Our client are now seeking a thorough and enthusiastic Compliance Partner for this new position to assist with several aspects of the company.

Role & Responsibilities of the Compliance Manager:

- Solid compliance experience within financial services sector

- Advice background or qualification advantageous - critical knowledgeable/competent with the advice process and relevant regulations

- Absolute minimum of 2 years comparable experience of looking at client files to review and assess suitability and compliance

- Understanding of at least some of our core investment proposition - SIPP/SSAS/REIT/structured products funds/multi-asset fund/discretionary portfolio management/commercial property/ISA's with non-standard investments and private syndicate investments an advantage

- Positive and confident individual who can identify and report on review trends and liaise with consultants re their findings

- Flexible and solutions driven - understands realistic regulation and can read, understand and interpret regulation and drive positive/collaborative compliance plus a right first time approach

- Client focussed - passionate about delivering great client outcomes

About You as the Compliance Manager:

  • Compliance experience essential - Qualification Desirable
  • A legal background would be looked on favourably.
  • Knowledge of the implications of GDPR and SMCR desirable
  • You will be thorough, professional & enthusiastic

Additional Benefits:

  • Ongoing training available
  • Chance to attend relevant seminars
  • Excellent salary

Please note by applying for this role you give consent for Eileen Richards Recruitment to retain your CV for up to 24 months for the purposes of assisting you to find your next role unless you notify us otherwise.

If you do not receive a response within five working days then unfortunately your application has been unsuccessful on this occasion.

Eileen Richards Recruitment are experienced within eight different sectors consisting of Accountancy and Finance, Construction, Customer Service & Onsite, Directors & Non-Executive, Human Resources, Office (including PA/EA), Sales & Marketing, Supply Chain & Procurement.

We look forward to helping you in your career in these sectors, so please send a copy of your CV to us. If you know of other people who are currently looking for a new career in these sectors please feel free to refer them to us.

We look forward to hearing from you.