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EXCLUSIVE: COMPLIANCE MANAGER 3D PW – IFA/PWM COMPLIANCE EXPERIENCE REQUIRED, Manchester
Client: Compliance Recruitment Solutions
Location: Manchester, United Kingdom
Job Category: Other
EU work permit required: Yes
Job Reference: 0f4bf1979b22
Job Views: 2
Posted: 29.06.2025
Expiry Date: 13.08.2025
Job Description:
This is an exclusive recruitment for a niche PWM firm seeking to hire their first compliance staff member. Reporting to the MD (who also holds SMF 16 & 17), duties include:
1. Overseeing the firm's compliance framework, ensuring adherence to FCA rules, especially under the Senior Managers & Certification Regime and Consumer Duty.
2. Monitoring adviser activity to ensure compliant advice processes and documentation.
3. Conducting file reviews, risk assessments, and internal audits.
4. Keeping up to date with regulatory developments and updating policies accordingly.
5. Providing training and guidance to advisers and support staff on compliance matters.
6. Handling complaints, breaches, and regulatory reporting.
7. Liaising with the FCA, compliance consultants, and other third parties as needed.
8. Providing compliance expertise and advice for ad hoc projects, e.g., acquisitions.
9. Creating and managing a compliant onboarding process for new recruits.
10. Supporting new advisors through to becoming competent (CAS), including observations, training, and updating files and the FCA.
Applicants should have previous experience in some of these areas. While a Level 4 qualification is useful, strong communication skills are more important. Although currently only 3 days PW, as the firm expands, more days may be offered, and there is potential to take on SMF 16 & 17 roles, which would include pay increases.
This role may suit someone with a part-time role, returning to work, a contractor seeking a permanent position, or a retiree looking to work part-time. The role is 2 days WFH and 1 day in the office (near Victoria or Piccadilly). Benefits include 27 days of pro-rata holidays.
Applicants must be legally entitled to work in the UK. By applying, candidates agree that all information provided is true and accurate to the best of their knowledge.
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