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Operations and Compliance Manager

Ascot Wealth Management
Closing date
22 Apr 2021

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Job Details

We are looking for an individual who either holds the Diploma in Regulated Financial Planning, or several years' experience within a Wealth Management firm, to sit in the operations team; focusing on integrating the existing business functions and also to assist in the Compliance Department. Whilst not a client facing role, we would like the individual to have the qualification as we have found that success in an operations and compliance role comes from understanding the personal financial services sector. This new role will be an integral part to the success of the company.

The chosen candidate will be working closely with the current Operations Manager, and the Managing Director to ensure the smooth running of the practice, both from an operational and also a compliance perspective. Ascot Wealth Management is currently supported by back office compliance support and therefore compliance will not be the sole responsibility of the role. Excellent attention to detail, good communication skills and a strong work ethic are essential.

Duties will include:
  • Ensuring business processes and policies are adhered throughout the office(s) and for all staff working from home
  • Developing and maintaining all procedures and processes.
  • Ensuring that all compliance and regulatory standards are met and any breach reported to the internal Compliance Officer.
  • Chair internal meetings; inclusive of agenda and minute recording.
  • Supporting the Managing Director in key business decisions.

The successful candidate will need:
  • To hold the Diploma in Regulated Financial Planning, or several years experience in a Wealth Management firm.
  • Ability to use back office CRM, time and task management systems
  • Good understanding of compliance requirements
  • Excellent organisation and task prioritisation
  • Ability to ensure deadlines will be met
  • Able to take direction and complete tasks independently
  • Excellent computer skills; experience with email, Word and Excel

Benefits of the role:
  • Personalised salary structure to reflect experience and contributions
  • 22 days holiday, starting
  • Development loan for further studies
  • Company Pension Scheme
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