Compliance Oversight Manager

Travail Employment Group
11 Jan 2018
10 Feb 2018
Contract Type
Full Time

Compliance Oversight Manager
£35,000 - £50,000 + study support + benefits

The Role
A Compliance Oversight Manager is sought by growing firm of independent financial advisors and planners to ensure overall compliance with FCA principles and regulations. The firm has established an excellent reputation for the level of service and expertise that they offer to a growing client base of HNW individuals and business owners, resulting in a high level of customer retention.

The ideal Compliance Oversight Manager will either be a Chartered Financial Planner with an interest in progressing their career in Compliance or an experienced qualified Compliance Oversight Manager

Key duties:-
• Ensuring the firm complies with the requirements of the Financial Services & Markets Act, the FCA principles and Code of Practice.

  • Reporting and monitoring of all compliance issues
  • Responding to requests for information from the FCA
  • Risk management
  • Ensuring compliance procedures are in place meeting effective KPIs
  • Ensuring effective compliance training and communication is undertaken with all staff
  • Undertaking relevant CPD to maintain competence in the role
  • Ensuring competence of all approved persons
  • Risk based file checking

The Candidate
The ideal candidate will have the following skills and experience -:

  • Detailed knowledge of the FCA Conduct of Business Rules and have undergone appropriate initial and regular training in their application
  • Qualified Level 4 Financial Planning & Advice
  • Motivated to undertake advanced qualifications leading to CF10 (learning and exam support provided)
  • A track record of experience as a Financial Advisor or Compliance Officer
  • A keen interest in compliance management and development
  • A professional with the ability to undertake a responsible, significant and vitally important role

The Company

My client is a successful and expanding firm of financial advisors and planners who provide a range of expert investment advice, pensions and retirement planning, estate planning and personal/business protection. The business has great energy and commitment to growth and therefore provides an ideal opportunity for a Financial Planning professional to develop and progress their career in compliance.
Super rewards, support and career opportunities exist for the right person joining this busy team.

The Package
Salary £35,000 - £50,000 + study support + benefits

To Apply
This vacancy is advertised by Travail Employment Group who are acting as an Employment Agency.

Once you click to apply for this job your application will be immediately received by Travail Employment Group. If your application is successful a consultant will be in contact with you within the next 7 days. If you do not hear within the next 7 days you have not been successful on this occasion and unless otherwise advised, Travail will keep your details on file and contact you with future relevant opportunities.

All candidates registering with Travail Employment Group will need to provide proof of identity, and evidence of any experience, training and qualifications our client considers necessary for this position.

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