Compliance Consultant

Compliance Manager - Portsmouth, South East England

Ref: 727Monday 27 June 2022

£35,000 - £40,000

We are working with a leading Wealth Management firm, looking to add a Compliance Consultant to the firm. 

You will play a pivotal role within the organisation and ensure that the business meets regulatory standards, reporting to the Business Quality Manager. 

The firm are offering a strong base salary and benefits, alongside hybrid working. 

Responsibilities:

  • The Compliance Monitoring Officer will ensure that all key tasks as detailed in the Compliance Monitoring Plan are completed diligently, impartially and in a timely fashion. 
  • Work with policy owners so as to ensure that all policies and procedures are not only up to date but in keeping with regulatory expectations.
  • You will be required to provide advice, guidance and support to the wider business together with the preparation of relevant management information for departmental and Board reporting purposes.
  • You will support both the Compliance Director and Manager. 
  • Undertaking or assisting in other Compliance Reviews and Monitoring activities in accordance with the timetable set out in the Compliance Monitoring Programme.

To be considered:

  • Experience in a similar compliance role gained within the Financial Planning industry. 
  • Level 4 Diploma qualified 
  • A good understanding of relevant legislation 
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