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Financial Planning - Compliance Manager

MB Fitzgerald
Closing date
4 Dec 2021

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Contract Type
Full Time
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MB Fitzgerald are working with a fully independent Chartered Financial Planning practice to recruit a Compliance Manager. The organisation is well established and have grown considerably & steadily over the last few years, they are now looking to recruit an experienced compliance professional who can take on overall responsibility for the firm's compliance advisory function.

I have listed below a few responsibilities -
  • Ensuring compliance of Advisers with all Internal and Regulatory Policies, Practices Procedures and Standards
  • Review and maintaining of firm's T+C Scheme
  • Feedback and coaching of advisers
  • First line T+C Supervision of Directors /Advisers
  • Development and maintaining of Internal and Regulatory product and procedural knowledge

The successful candidate will be an experienced Compliance Manager/Officer from a Financial Advisory environment a good knowledge of all financial services products. We are looking for a candidate who is Level 4 Diploma qualified as a minimum.

The role will have flexible working with travel to offices to meet with Advisers if required.

The company is growing through aquations and natural growth, there will be plenty of opportunities to further develop your role and career.
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