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Regional Compliance Manager - Expanding Advisory Company - City, London, United Kingdom, EC1A2


Regional Compliance Manager - Expanding Advisory Company

London - £65,000 + Package

A leading UK Financial Services Group who are undergoing rapid expansion have a new challenging career opportunity for an experienced Compliance Manager with significant Private Client Advisory Experience. This is an excellent opportunity for a compliance professional to join an entrepreneurial company that has ambitious growth plans. They are looking for a proactive individual that wants to add value and contribute to the development of the department.

Specifics of the role will involve -

  • Add value to Compliance Department by assisting with the design and implementation of compliance procedures
  • Help produce and implement the Compliance Plan and Monitoring programme.
  • Identify risks that may have an impact on the business and discuss with Compliance Director as required.
  • Monitor Advisors and consultants ensure that any training or development requirements are attended to. Highlight any findings within the monitoring programme.
  • Investigate complaints and errors, following internal and FCA guidelines. Ensure all records of updated and recorded in line with procedure.
  • Educate all staff on polices and changes that could affect the business.
  • Provide a Compliance induction to all new joiners and ensure that they have a full understanding of company policy and requirements.
  • Help manage compliance projects.

To apply for the position, you must have field based Private Client Compliance Advisory experience, hold a full diploma plus hold, or be working towards, an additional pension qualification R04; J04; J05; AF3 (being replaced by AF7) at least one of these) - R08 would be a bonus and be experienced in dealing with pension and investment products.

In return the offer:

  • Exciting career development prospects
  • The chance to have a real impact on company growth
  • Fantastic remuneration package

For more information please contact Briony Malden