Compliance Manager - IFA firm, Sutton Coldfield
An excellent opportunity with a West Midlands independent financial advice firm looking to recruit a Compliance Manager / Head.
This role will support the day-to-day compliance function, FCA liaison, line of sight to T&C operations, and be responsible for the quality assurance/file review team. This position will not require SMF16/17 functions and will benefit from 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 is committed to being a people-focused organization.
Highlights include:
* Be an integral part of a well-established directly authorized Financial Services firm
* Enjoy day-to-day autonomy with full support from the 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 the leadership team
* Package based on experience and development needs, with a suggested salary guide of £40-65k
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 in this area.
It is essential to have worked in a Financial Adviser office involved with pensions and investment planning.
#J-18808-Ljbffr