Compliance Manager

Compliance Manager - Manchester, North West England

Ref: 803Monday 15 August 2022

£40,000 - £50,000

This is an excellent opportunity for an experienced Compliance Manager to join a National IFA who provide excellent training and study support.

Responsibilities:

  • Managing the establishment and maintenance regulatory standards and policies in accordance with the rules and guidance of the FCA and to provide a compliant framework for the business to operate within
  • Establishing and operating a comprehensive risk-based compliance monitoring programme to provide assurances that the firm is operating within the rules and guidance of the FCA
  • Developing a positive compliance culture including the provision of proactive advice and guidance, ensuring an awareness of compliance is embedded throughout the business functions and is an integral part of all decision making
  • Taking ownership of day-to-day regulatory compliance issues
  • Assisting the Head of Risk and Compliance with handing more complex regulatory compliance issues

Skills:

  • Previous experience in a compliance role in the financial planning industry
  • Investment Compliance Diploma, or working towards
  • A comprehensive working knowledge of the Financial Services and Markets Act, FCA Handbook, Principles for Business
  • Excellent communication skills, both written and verbally
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