Compliance Manager

We are currently seeking an experienced and driven Compliance Manager to join our clients dynamic team on a permanent basis. This role offers the flexibility of a part-time 2 days per week contract, office based from their Chester offices.The ideal candidate will have specific experience in managing the compliance function of a small FCSA authorised advisery business and will have a compliance Assistant reporting to them. We will also consider immediate temporary applications. Key Responsibilities:

• Review and manage the compliance and T&C plan across the group.
• Oversee complaints handling in line with FCA DISP Rules.
• Conduct monitoring inspection visits and complete sales observations for all regulated Advisors.
• Submit quarterly and half-yearly regulatory reports to the FCA.
• Provide written quarterly compliance updates to the Board.
• Senior Manager and Certification Regime responsibilities
• To act as the Money Laundering Reporting Officer

Key Requirements:

• Financial Services Experience: Proven track record within the financial services industry, with a strong focus on IFA operations.
• Regulatory Expertise: Familiarity with SMF 16/17, Consumer Duty, Conduct Rules, GDPR, and RMAR.
• FCA Experience: Solid experience handling FCA requests, reporting, and compliance obligations.
• IFA Level Experience: Experience at IFA level, with CF10 accountability.
• Qualifications: Fully FPC qualified (or equivalent) with an in-depth understanding of regulatory procedures.
• Leadership Skills: Experience in people and quality management skills.
• Communication: Ability to report to and present to the Board effectively.

Desirable Skills & Experience:

• Experience with SMF 16/17 roles.
• In-depth knowledge of Consumer Duty and Conduct Rules.

If you are an accomplished Compliance professional with the ability to work autonomously and add value through strategic compliance management, we would love to hear from you.Our client is an international organisation with a proven track record of providing a broad spectrum of financial services in the UK and abroad. Benefits:

• Excellent staff retention
• Competitive salary
• Starting at 27 days Annual Leave per year (plus Statutory Bank Holidays).
• A monetary loyalty bonus after 5, 10, 15 and 20 years' service.
• Staff Profit Share
• Death in Service Scheme
• Income Protection Scheme
• Workplace Pension
• Health Cash Plan
• Company sick benefits
• Positive approach to Learning and Development opportunities
• Allocated car parking space
• EAP
• Recruit a Friend Bonus Scheme
• Departmental and Company Social Events