Home
Shoreham-By-Sea
Policy manager
Compliance / T&C Financial Services IFA

Compliance / T&C Financial Services IFA

Astral Recruitment

Posted 8 hours ago, valid for 14 days

Shoreham-By-Sea, West Sussex BN43 5JE

Full Time

In order to submit this application, a Reed account will be created for you. As such, in addition to applying for this job, you will be signed up to all Reed’s services as part of the process. By submitting this application, you agree to Reed’s Terms and Conditions and acknowledge that your personal data will be transferred to Reed and processed by them in accordance with their Privacy Policy.

Sonic Summary

Our client, a well-established medium-sized IFA firm in Horsham, is seeking an experienced Compliance Manager.
The role requires a combination of compliance and competency management for both existing IFA's and new entrants.
Key responsibilities include providing advice on policies, monitoring and mentoring RIs, and collaborating with stakeholders on regulatory standards.
The position involves managing oversight activities, including scheduling 1-2-1 meetings and competency assessments.
The salary for this role is up to £55,000 plus a benefits package, with a requirement for relevant experience in compliance management.

Our client is a successful and well estblished medium sized IFA firm in Horsham and they are currently looking for an experienced Compliance Manager to join the team

This role is a combination of compliance and competency with both existiong IFA's and new entrants

This role involves being the primary point of contact for advice on policies and procedures,

Responsibilities include monitoring, coaching, and mentoring RIs, collaborating with stakeholders to enforce standards, and identifying regulatory developments.

you will be managing and scheduling all aspects of oversight, 1-2-1 meetings and competency assessments.

Monitor, coach and mentor IFA's both remotely, and on-site, to ensure compliance

This is initially office based in Horsham then Hybrid so anyone within a 20 mile radius would work

Base to £55000 plus benefits package

Apply now in a few quick clicks