Compliance Manager - Darlington, County Durham

Recruit UK
Darlington, County Durham
14 Jul 2017
13 Aug 2017
Contract Type
Part Time


My client is a small but rapidly growing firm offering Financial Services support to Advisers nationwide. They are looking to expand their current service offering. They are extremely keen to support motivated people in furthering their financial services careers and to promote the importance of the compliance function and its growth in the industry. They are in the process of developing and launching additional services and therefore are looking for new people to help them in this exciting phase. They are a very modern company; having only been established just over 7 years, they run a paperless office, they all use Macs. They do the very best job they can for their clients and want team members who can help support that. They have an early finish on a Friday, birthdays off, regular team days out.

Job Description:

This role would suit a candidate who has experience in compliance within financial services. Who is passionate about financial services, wanting to change it for the better, and supporting advisers to do the best they possible can for their clients.

You will be keen to help them develop a new service. In addition to practical experience you will be looking for a challenge to help build something to create a new service. This will be a fluid role. You will need to be open to new ideas towards a brand new proposition and have your own thoughts and ideas to assist and challenge those already on the table. The specific role will involve everything from high level strategy, to implementing operations, to creating practical documents, to advising the marketing team and will therefore require a varied set of skills.

You will help to design the new service in practical terms. You will work with their developers to build a piece of software to support the newly created service. Furthermore, you will liaise with the marketing team to produce a campaign in the run up to launch. It is therefore an extremely varied role which will change as the service develops.

Beyond this stage, the role will involve the support of the actual service, as well as the training of new recruits to the team. You will also be motivated to support colleagues in all other areas of the business. This is a small, but quickly growing company, the work they do, and the methods they use are constantly evolving. You should embrace change and feel confident to suggest improvements where you see them.

Candidate requirements:

They are seeking a candidate who has at least 3 years experience in a compliance environment (essential). Has ideally level 4 financial qualifications, or are working towards them. They would like you to have a complete understanding of the financial planning industry, knowledge of the FCAs current regime and an awareness of the future of the profession. You will have maturity and confidence in inspiring other members of staff to grow and develop, particularly important as the new service grows and additional recruits join them. You will be enthusiastic someone not afraid to roll their sleeves up, get stuck in, ask questions, and learn as they go.

In addition, the ideal candidate will have:

· Microsoft Office skills

· Competent on computers / learning how to use new pieces of software

· Excellent telephone manner

· Excellent attention to detail

· Strong numeracy and statistics skills

· Good verbal and written communication - grammar being of particular importance.

· Team player

· Highly organised and responsible for own diary

Ideally this will be a full-time position -although part-time or flexible hours can be considered and you will be based out of their North East office.

To discuss this role, or other opportunities within the financial industry, please contact Andrew Nicholson at Recruit UK on Bristol 9450-450 and quote reference 11662