An excellent opportunity with a West Midlands independent financial advice firm looking to recruit a Compliance Manager / Head.
This role will support day to day compliance function, FCA liaison, line of sight to T&C operations and responsible for quality assurance/ file review team. This position will not require SMF16/17 functions and will benefit from the the support of a 3rd party compliance service provider.
My client has an excellent reputation as a long standing IFA business providing client centric financial planning services and committed to being a people focused organisation.
Highlights include:
Be an integral part of a well-established directly authorised Financial Services firm
Enjoy day-to-day autonomy with full support from leadership team.
Open to an experienced or aspiring compliance manager seeking a development pathway to Head of Compliance.
Receive excellent 121 mentorship and training from leadership team.
Package based on experience and development needs with suggested salary guide of £40-65k.
Hybrid working.
Candidate requirements:
This opportunity is ideally suited to a candidate from a similar background or individuals with technical skills gained as a Paraplanner or File Review Specialist keen to progress this area.
It is essential to have worked in a Financial Adviser office involved with pensions and investment planning.
Diploma Level 4 essential