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The Company: A regional sized yet expanding wealth management firm looking to bring in a Compliance Manager to take on a broad internal compliance role inclusive of file review, T&C and some operational involvement too.
- Office Location: Barlborough, North Chesterfield York
- Hybrid/Home Working: Yes - Split between home/office
Package: £50-60k base DOE + discretionary bonus and full company benefits
- Benefits: 5% company pension, 4 x salary death in service & Critical illness cover
- Holidays: 25 days holiday + stats
The Role: An internal compliance role/remit spanning internal audit, T&C, governance and compliance oversight for the group. Duties include:
- Ensure appropriate advice and sales procedures are in place for all business areas and these are followed
- Ensures all employees who undertake distribution activities meet the FCA expectations in terms of knowledge, ability and repute
- Regularly review the relevant individual’s client files as required by the firms’ relevant procedures
- Checks as above but monitor checks for adherence to T&C scheme
- Completion risk assessments of all advisers
- T&C Scheme - Manage and implement and ensure adequate records are being maintained
- Make sure all retail investment advisers hold PFS
- Coach and develop junior advisers to attain competency including observations.
- Conduct regular 1:1s with all Advisers ensuring behaviours and KPI’s are on track.
- Complete all necessary changes/updates/applications to the FCA Directory/Register
- Regular audit of processes to ensure being adhered to
- Support the Sales Team in adhering to all best practices and processes.
The Person: Must be QCF level 4 Diploma qualified and be coming from an IFA/wealth management background. This is an all-encompassing compliance type role covering Adviser Compliance and T&C - So the motivation to take on a broad, all-encompassing remit is essential:
- Required: Experience within internal compliance in a private wealth advice setting
- Required: File checking experience and T&C/T&D responsibilities
- Preferred: Adviser onboarding and induction experience
What next? Please send CV applications to Chris at CB3 Associates Ltd to be reviewed inside 24 hours. For further opportunities that might suit you, please visit the website: www.cb3associates.co.uk
