Manager of FS Compliance Officers - level 4 Diploma required

Goldstone Laine
Liverpool, Merseyside
14 Jul 2017
13 Aug 2017
Contract Type
Full Time

Job title: Business Compliance Manager

Location: Liverpool

Basic salary is c£35k, plus core employee benefits

Job summary

Oversee the management and development of the Business Compliance team.

Maintaining a high degree of technical knowledge relating to core product areas and surrounding legislation, ensuring that the team is fully trained and equipped to assess and implement Compliance throughout the business particularly focusing on our network of home based Advisers & Paraplanners.

Core responsibilities

Escalation point of contact for queries and technical questions

Ensure that appropriate team training is provided so that they can efficiently and effectively carry out their day to day tasks

Assist the business in the onboarding process by delivering training to new employees tailored to their position

Ensure team and individual performance is monitored and assessed on a regular basis

Carry out resource analysis and manage recruitment within the team

Ensure employee matters are dealt with effectively in accordance with HR procedures, including:

Ongoing employee reviews

Discipline and performance

Absence management

Resolving employee issues

Probation reviews

Identify and mitigate risks within the department

Maintain a close working relationship with the Bristol based Business Compliance Manager, ensuring consistency within the department

Maintain a close working relationship with other managers, particularly the Advised Sales Management team, ensuring interdepartmental issues are dealt with efficiently

Core responsibilities

FCA reporting

Provide timely and accurate internal KPIs to the Head of Compliance

Provide timely and accurate KPIs to the Advised Sales Management team

Develop, implement and maintain effective systems, processes and procedures to ensure regulatory standards are met

Create a support culture based on continuous improvement & implementing Compliance throughout the business particularly the advised sales force

Deliver key objectives through the planning, measurement and analysis of team activities

Oversee team activities to ensure Company policies and procedures are being followed

Ensure all regulatory requirements are adhered to Keep up to date on changing legislation


Pensions/Tax/Financial Services



Excellent communication skills at all levels, both verbal and written

Managerial and training experience

Proficient in the use of MS Office

Be able to work to deadlines with proven time management skills

Strong organisational and problem solving skills, able to adopt a logical approach

Thorough approach to work, with good attention to detail

Approachable with good leadership, management and coaching skills

Self motivated and able to motivate others with a focus on delivering results

Embraces change with a positive and flexible attitude

Excellent influencing and interpersonal skills

Demonstrate strong business acumen and commercial awareness

Ability to articulate complex ideas, concepts and solutions both internally and externally

Proactive team player

Experience within the financial services industry

Detailed knowledge of UK regulatory environment, including money laundering

regulations and data protection guidelines

Essential qualifications

Diploma in Financial Planning or equivalent

Pension Income options J05 or equivalent

Desirable qualifications

Diploma in Investment Compliance

AF3 or equivalent

This role is being dealt with by Mark Hazzard, Goldstone Laine.