Compliance Manager, 9-12 month FTC, Norwich, £Competitive DOE

R13 Recruitment
14 Apr 2018
20 Apr 2018
Contract Type
Full Time
R13 recruitment are working in affiliation with a highly respected IFA’s in their search for an experienced Compliance Manager to join their team on a 9 month FTC. You will be responsible for promoting a strong compliance culture within the organisation, ensuring systems and controls are in line with FCA requirements.

Duties to include:
* Carrying out in-depth file reviews, recording all findings to reduce any potential risks.
* Providing constructive feedback on reviews to ensure compliance with company policies and procedures.
* Handling and investigating complaints in line with the FCA complaints handling riles, liaising with appropriate stakeholders prior to providing a final response to the client.
* Participating in regular director meetings, providing appropriate management information, compliance and money laundering reports.
* Assisting the Compliance Officer in the production of regulatory reports.
* Ensuring financial promotions are approved in the absence of the Compliance Officer.
* Producing accurate and detailed compliance records.
* Maintaining accurate and up to date compliance registers.
* Managing all compliance related queries in a timely manner.
* Recognising and escalating improvement recommendations to company systems, procedures and controls.
* Carrying out project work when required.
* Ad-hoc duties as requested.

You will have/be:
* Diploma or equivalent qualification in Financial Planning or Regulated Financial Planning.
* A minimum of 5 years’ experience of working within a Financial Advice, Paraplanning or Compliance role.
* ICA Diploma in Compliance is advantageous.
* Exceptional knowledge of FCA ethics, rules and requirements.
* Analytical approach and good attention to detail.
* Comfortable providing detailed and constructive feedback to individuals across all levels of the business.
* Strong organisational skills coupled with ability to prioritise workload.
* Excellent written and verbal communication skills.
* Self-motivated and be comfortable working under pressure.
* Ability to work well within a team as well as independently.

This is a full time, 9-12 month FTC opportunity working from offices based just on the outskirts of Norwich City Centre. Working hours are be 37.5 per week Monday to Friday. Offered salary is competitive DOE.
A comprehensive benefits package is offered including; 25 days annual leave (pro rata) + bank holidays, pension scheme, group life scheme and discretionary bonus.

How to apply:
To hear more details about this fantastic opportunity please email your CV to Luke Plane – Recruitment Specialist at rthirteen recruitment.

About rthirteen:
Powered by our principals - we link individuals with opportunities to fulfil their potential, and introduce client partners to associates to aid their business evolution. Contact us, for a completely confidential chat. rthirteen, clever recruiting which makes a difference.

Due to the high numbers of applications we receive for advertised vacancies, if you do not hear from us within 5 working days, please assume that your application has been unsuccessful for this opportunity. rthirteen will retain your details, and contact you with any other forthcoming opportunities which we feel may be appropriate

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