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Compliance Manager

Closing date
30 Jun 2022

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Contract Type
Full Time
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Job Title: Compliance Manager

Location: Rochester

Salary: £35,000 - £45,000

The Company:

The opportunity to join a Wealth Management firm who specialise in Pensions and Investments. A growing company that focus solely on providing their clients with a 5 star service.

Development is extremely important to them and every member of staff has the opportunity to progress and develop into a highly qualified industry professional. Their staff are always looked after, as highlighted by their impressive benefits package. They hold regular work events/excursions and have a flexible approach to working.

They are looking for a Regulatory manager to join their professional team and to assist the Head of Compliance, ensuring the business is complying with regulatory and legislative standards.


- Manage the regulatory team

- Ensure the business is compliant with laws, regulations and policies

- Produce management information and report this data regularly

- Keep up to date with FCA guidance and practice

- Develop and maintain compliance policies, registers and procedures

The Required Skills:

- Previous experience working in a compliance manager position

- Level 4 qualified in retail financial services

- DB pension transfer qualifications desirable (AF3, AF7 or G60)

- Ability to work well within a team to achieve good customer outcomes.

To discuss this opportunity further, please contact one of our Financial Planning specialists at Capio Recruitment.
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