Compliance Manager

St. James's Place Wealth Management
London (Greater)
11 Nov 2017
16 Nov 2017
Contract Type
Full Time

Compliance Manager

Location: City of London

Salary: Highly Competitive plus bonus and benefits

Working as part of the team at Financial Lifestyle Management Ltd who are an Appointed Introducer of St. James?s Place Wealth Management Plc.

An exciting new opportunity has arisen for a professional, adaptable and experienced Compliance Manager within a large and highly successful Principle Partner Practice in London. The Practice has over 1,000 clients and provides comprehensive financial advice.

The Practice is an Appointed Introducer of St. James?s Place Wealth Management plc (SJP); a leading, and highly regarded, FTSE 100 UK Wealth Management company which distributes a range of Investment and Retirement products and financial solutions to a High Net Worth client base. SJP has funds under management in excess of £86bn.

The Role ? Compliance Manager

You will be based in a fast paced office ensuring the business generated by the Practice is processed in a complaint and timely manner.

You will work closely with the Advisers and SJP's Business Assurance team adhering to the systematic checking process for all business submissions.

You will be responsible for keeping the Practice informed of guidance updates, running any relevant training and managing adviser CPD.

You will be liaising with third parties on a daily basis.

You will be responsible for training new joiners and junior members of staff on writing suitability reports and business processes.

You will provide ad-hoc support to the financial advisers.

The Person ? Compliance Manager

This is an interesting and challenging role that would suit a confident individual who has excellent attention to detail combined with strong communication skills and a ?can do? working style. You work well in a team and have excellent communication skills.

Ideally, you will hold the Level 4 DipPFS qualification. Alternatively, you may be FPC qualified and/or have significant industry experience. You understand the advice process intimately and may have even been a Financial Adviser or Paraplanner before. You will be up to date with current financial services legislation.

You have excellent communication skills and are highly organised.

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