Group Compliance Manager

Alexander Lloyd
Newcastle Upon Tyne, UK
18 Sep 2019
28 Sep 2019
Contract Type
Full Time
This is a fantastic opportunity to join one of the UK's largest Chartered Financial Planning firms, as a Group Compliance Manager, that has a number of dedicated business channels that include financial advisory, Discretionary Fund Management, Wealth Management, Property Finance and Estate Planning.

This role is available on a permenant basis whereby you will support the Group Compliance Director in maintaining and delivering effective monitoring of systems, controls and processes to safeguard the interests of our customers, advisers and the firms within and to meet the expectations of the firm and the Financial Conduct Authority in respect of the Fair Treatment of Customers.

To be successful in your application for this role - and to be a solid fit for this firm/organisation - it is important that you can demonstrate experience in the following:
  • Dealing with client's complaints in line with the firm's complaint handling procedures
  • Maintain the firm's Complaint Registers
  • maintain and manage the recruitment, appointment and certification of advisers under the Senior Management and Certification Regime
  • Create and edit compliance related documents as directed to meet the requirements of the FCA.
  • Maintain and Manager the firms Data Protection Assessment Register.

It is to be noted that a Diploma Level 4 is required.

In return, this role offers a competitive salary, 25 days' holiday plus bank holidays, company pension scheme and training and support towards industry recognised certifications.

Please quote when calling Stephen at Alexander Lloyd or email them at . This is only one of many vacancies we are handling. Alexander Lloyd is a specialist within Compliance & Risk recruitment. Areas of expertise include Compliance Directors, CF10/11, Risk Frameworks, Monitoring, Advisory, Policy, T&C, Quality Assurance/ File Review, AML/KYC etc across the entire financial services sector including investments, banking and insurance.

Due to the high amount of interest that we receive for each of our roles unfortunately we cannot respond to each application individually, therefore if you do not hear back from one of our consultants you have not been shortlisted for this role. Please continue to check our website for any other roles which may be of interest.

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