Compliance Manager

NJR Recruitment
Marton-In-Cleveland, UK
18 Aug 2019
26 Aug 2019
Contract Type
Full Time
Our Client is a well known and highly regarded Wealth Management firm with offices based in Middlesbrough. This firm of Independent Financial Planners offer genuinely bespoke advice on a variety of Investment, Pensions and Protection products to a diverse range of HNW individuals.

Working from their prestigious offices based outside the town centre, you will be working as the Head of Compliance and carrying out a variety of file reviews , manage the T+C process and advise on compliance issues.

Responsibilities include :
  • Ownership of the Compliance Monitoring Programme and oversight of monitoring staff ensuring routine and ad hoc work tasks are completed on time and to a satisfactory standard.
  • To ensure all routine and ad hoc monitoring is completed to an acceptable standard and findings appropriately dealt with
  • Where appropriate to attend and provide compliance input on specific business meetings
  • To assist in responding to compliance enquiries from all areas of the business and providing pro-active advice where necessary.
  • To conduct comprehensive file reviews on a range of pension and investment products.
  • To undertake compliance and business projects when the need arises.
  • To develop own professional expertise through on the job training, formal training and, where appropriate, professional qualifications.
  • To carry out any other duties as may reasonably be required.

The successful candidate will need to have previous experience working in a senior compliance position with a deep understanding of compliance, preferably within a wealth management or private banking environment. The candidate will be highly professional with very strong communicators. The ability to work as part of a professional team is essential.

It is essential that the candidate will hold a full Level 4 Diploma in Financial Planning, ideally through the CII, although Level 4 equivalents would be accepted.

For further information please contact one of our specialist consultants quoting REF:NJR8872

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