Compliance Manager

Heat Recruitment
Ashby-De-La-Zouch, UK
15 Oct 2019
22 Oct 2019
Contract Type
Full Time
The Client:

The opportunity for an experienced compliance professional to join an established IFA practice who provide exemplary wealth advice to their clients.

The Opportunity

Our client is looking for an experienced Compliance Manager to oversee the day to day compliance function within the IFA. The firm is offering long-term progression into a board-level position with potential to hold CF10/11 in the future. You will have the opportunity to work autonomously whilst working within a small team environment. You will be responsible for setting up and monitoring compliance processes alongside advising the IFA's to ensure their advice is meeting FCA regulatory requirements.

What's needed for me to be considered?

In order to be considered, candidates ideally need to have;
  • Experience in managing compliance within an IFA informing advisers on regulatory change and overseeing compliance processes
  • Ideally Level 4 Qualified
  • Confident when communicating with board level directors

What next?

Apply today to be considered for this opportunity. If suitable, one of our specialist consultants will be in contact to discuss the opportunity with you in detail prior to submitting your CV to the client. In this discussion we will aim to identify your specific skills and motivations, and where appropriate recommend other relevant opportunities to you that match your requirements.

If this specific vacancy is not exactly what you are looking for please contact us to discuss other opportunities we may be recruiting for that aren't necessarily advertised; you can send your CV to this vacancy or contact us directly.

Additionally, refer a friend or colleague to us and receive £200 in vouchers if we assist them in securing a new career.

Job Synonyms: Compliance Manager, IFA, Compliance, Monitoring, File Review

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