Compliance Manager
* Droitwich/Gloucester
* Up to £50,000 per annum DOE
Do you have compliance experience within an IFA, Financial Planning or Wealth Management firm?
My client, a growing financial planning and wealth management firm is recruiting for an experienced Compliance Manager to join their business during an exciting period of change.
This is a great opportunity to step into a rapidly expanding firm - one where you will play a pivotal role in their regulatory and risk framework, ensure systems and procedures are in place to meet both regulatory and internal requirements for all markets in which they operate, and update all stakeholders on regulatory change and risk-related matters.
Key duties and responsibilities;
1. Delivering a sustainable risk-based compliance programme and taking responsibility for sustaining standards of regulatory compliance
2. Identifying compliance process improvements/weaknesses and presenting solutions where appropriate
3. Managing annual compliance diary to ensure key business and regulatory timescales are met
4. Monitoring and maintaining regulatory registers to identify relevant risks
5. Working with external file check support to ensure robust and compliant advice files and identifying ongoing improvements
6. Drafting compliance policies and procedures and reviewing these annually
7. Providing guidance to stakeholders on regul...