UA-185291695-1 Compliance Manager, Jobs, 316

Compliance Manager

Compliance Manager - Bath, South West England

Ref: 316Friday 5 November 2021


  • Salary £52,000 DOE
  • 25 days annual leave, increasing with service
  • Annual Leave buy and sell scheme
  • 4 x Life Assurance
  • Company Pension Scheme or Salary Sacrifice
  • PMI
  • Cash Plan
  • Group Income Protection
  • Dress down Fridays
  • Charity fundraising events
  • Social Clubs
  • Work from home 3 days a week

About the opportunity:

A national Independent Financial Advisers are hiring for a Compliance Manager to lead the Compliance team in a way that supports compliant delivery of service excellence and operational effectiveness at all times. Ensuring that internal policies and procedures are up to date and adhere to FCA and other regulatory requirements. Monitoring and reporting on corporate standards with regard to compliance with all regulatory requirements. Providing expert advice on compliance issues, together with sound commercial judgement.

What is required:

  • CII level 4 Diploma in Financial Services and/or relevant compliance qualifications
  • Able to effectively monitor transactions and business processes against set standards and to implement remedial action when required.
  • High level report writing skills meeting regulatory standards.
  • Ability to provide balanced, quality feedback for advisers and colleagues to maintain quality and compliance standards.
  • Ability to develop strong stakeholder relationships.
  • Effective decision-making skills to satisfy a range of stakeholders needs.
  • Interacts openly and honestly with others, supporting development of close relationships.
  • Able to interpret complex technical issues and make recommendations with regard to new regulatory standards.