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Worthing
Policy manager
Compliance / T&C Financial Services IFA

Compliance / T&C Financial Services IFA

Astral Recruitment

Posted 8 hours ago, valid for 14 days

Worthing, West Sussex BN13 3EF, England

Full Time

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Sonic Summary

Our client, a well-established medium-sized IFA firm in Horsham, is seeking an experienced Compliance Manager to join their team.
The role combines compliance and competency management for both existing IFA's and new entrants.
Key responsibilities include advising on policies, monitoring, coaching, and mentoring RIs, and collaborating with stakeholders to enforce standards.
The position requires managing oversight, scheduling 1-2-1 meetings, and conducting competency assessments, with both remote and on-site mentoring involved.
The salary for this role is up to £55,000, and candidates should have 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

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