A long standing clients of ours who are stalwarts in the realm of Private Client Wealth Management across the South East of England is now looking for an experienced Compliance professional to step into a Compliance Manager role supporting the Compliance Director.
Having recruited for this IFA firm for several years and placed several of their staff, we have got to know the business extremely well. They have grown organically, onboarding many new clients throughout 2020 & 2021 and have an impressive track record of internal promotion, staff development, client retention and referrals. As a result of a very successful year for both new and repeat business, they are now looking for a dedicated Compliance Manager who is Diploma Qualified (Level 4) or approaching achieving this.
This role reports directly to the Compliance Director aiding in the effective and smooth running of the compliance function. Duties will include a thorough review of all current processes, systems and making recommendations on possible changes, then rolling them out across the business.
Once this review is complete, you will work closely with all staff to ensure they are fully up to date and compliant in all facets of their daily duties and keeping in line with new regulations and procedures. As the role is working directly with Senior Management the holder of the role will require excellent interpersonal skills and be able to deliver complex information in a simple to understand manner.
Additional duties will be to conduct file reviews, on-board new staff and keep up to date records to staff's CPD, T&C and regulatory returns. If you are looking for a fresh challenge within a firm that truly supports and appreciates their staff, then this would be an excellent new move for you.
The firm offer an excellent benefits package and the flexibility to work from home 3 days per week, along with a very friendly and supportive working environment. To be eligible for this role, you will need to have worked within Financial Services for at least 3 years and have previous experience of compliance within an FCA regulated environment.