Regional Compliance Manager - North West - Salary £40k - £50k

10 Jan 2018
09 Feb 2018
Contract Type
Full Time

Regional Compliance Manager - North West - Salary: £40,000 - £50,000 + Company Benefits

A National Wealth Management organisation are currently looking to recruit within their Compliance dept. Your office base will be the Chester office. You will be occasionally travelling to various offices throughout the North of England working with Financial Planners, Development Directors and compliance team.

Your role will be to:

  • Deliver Adviser training and competence reviews
  • Hold 1-1's for observations with Financial Planners on T&C Schemes
  • Monitor the CPD alongside Financial Planners and Investment Advisors to ensure continually updated and completed.
  • Review files on pre and post sales to identify any training needs
  • Attend compliance meetings regularly and deliver reports on activity
  • Quality Checks

Our client has asked for applicants to have compliance experience within wealth management and an understanding of advisory and discretionary investment management.

If you have any experience with client file reviews or suitability reviews that would be an advantage.

For more info on this great compliance job opportunity in the North West please contact Philip Gordon at Zoot Recruit -Financial Services for a confidential discussion on Liverpool 601-6000 or email .

Zoot Recruit is a specialist Financial Services recruiter based in Liverpool covering vacancies within the North West. We are embarking on an exciting growth plan in 2018 with our current team having over 40 year's specialist recruitment experience.

Due to the high number of applications we are receiving, in some instances we are unable to offer individual feedback. If we have not contacted you within five working days unfortunately your application will not be progressed any further.

For further opportunities please visit our website

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