Compliance Manager

Marmion Recruitment
Manchester, UK
04 Aug 2019
09 Sep 2019
Contract Type
Full Time
Role: Compliance Manager (CF10 qualified)

Location: Manchester Central

Salary: £30,000-£50,000 + benefits

Our Client

Our client is a UK Advisory business based in Manchester city centre who operates with the support of one of the UKs biggest Financial Advisory firms.The team has an average of 25 years' experience in the investment industry and provide their clients with multiple products and services whilst ensuring they have access to sound financial planning and advice. Due to the great success they have enjoyed since inception, they now seek to recruit a Compliance Manager (CF10) in a brand-new position and there is great scope here to really make this role your own. The role will be reporting directly into the senior leadership team of the business.

The Role

As per the title of this advert, all suitable applicants MUST have experience of CF10 responsibility (or at least be on the cusp of attaining it). You will have full responsibility for FCA compliance and monitoring - ensuring all financial promotions are fully compliant. You will also be in charge of all required regulatory reporting and being in the main port of call in all communications with the FCA. You will be required to review, update (where necessary) and roll out all compliance policies in line with regulatory guideline and legislation. You will also be responsible for all AML / KYC controls for the platform and ensure that the senior leadership team are kept abreast of all regulatory matters and any changes which could affect business operations. We have a broader job description to share with interested parties.

Essential Skills and Experience

As mentioned, it is imperative that you hold a CF10 position in your current role or are close to attaining that function. You may also be a qualified financial adviser who wants to step away from independent work and is looking for a stable, employed position. You will be commercially astute and be a natural, confident communicator with an ability to build business relationships with people at all levels.

You will also have:

·Strong analytical ability; and

·Ideally experience of compliance within the wealth management sector.

If you believe you have the right credentials and are interested to learn more, we can provide you with credible insight into what you can expect. We have spent time in not only getting to know the company, but in learning in detail about what the role involves. Please call Mohsin for a confidential chat now.

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