Job Title: Compliance Manager
Salary: £35,000 - £45,000
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.