COMPLIANCE CONSULTANT - FINANCIAL PLANNING / WEALTH MANAGEMENT
SCOTLAND, NORTH EAST & ORKSHIRE REGIONS
£50,000 + BENEFITS + CAR ALLOWANCE + BONUSES
Our client is an AIM listed Service Provider to many of the UK's leading Financial Advisors. Providing compliance support for over 400 directly regulated firms, ranging from large UK wide advisory firms to smaller Investment, Mortgage and Protection businesses. An incredibly exciting opportunity is now available for a Compliance Manager to form them and join part of their Senior Management Team. This is a high-profile role within the business and someone credible, professional and intelligent is required. The main focus of this role will be to lead and manage the Consultancy team. The team provides personal and bespoke compliance support to firms that subscribe to our services.
The Compliance consultant will lead by example by delivering excellent compliance support to a select allocation of client firms as well being responsible for the management and development of the Consultancy team. You will undertake regulatory visits to client firms in line with their service agreement and ensure that the content of the visit is appropriate with firm's requirements (e.g. risks assessments, supervision etc).
This will involve:
" Carry out background research of firm through: (FCA website search; Any recent technical he...