Overview
MERJE, North Yorkshire, United Kingdom
Compliance Manager
The role is with a rapidly expanding Wealth Management firm. The Compliance Manager will support the Head of Compliance Advisory and ensure consistent adherence to regulatory obligations across the national adviser network.
Responsibilities
* Manage a geographically dispersed team of compliance professionals, fostering consistent standards and collaborative working practices across the UK.
* Collate and analyse compliance management information (MI) for reporting to the Head of Compliance Advisory and escalation to relevant committees and governance forums; represent the Head of Compliance Advisory when required.
* Lead the operational implementation and ongoing oversight of Consumer Duty, ensuring adherence to the FCA’s expectations and demonstrable delivery of good outcomes for clients.
* Ensure AML frameworks are up to date, effective and followed across the firm; support AML training, suspicious activity reviews and policy adherence.
* Support auditable communications to ensure clear, fair, and not misleading communications are reviewed and approved in a timely manner.
* Own and execute the Compliance Monitoring Programme (CMP) to ensure regulatory coverage and risk mitigation across all business areas.
Key Requirements
* Minimum 3 to 5+ years in a senior compliance role within a regulated financial planning or wealth management firm; proven experience leading a small to medium compliance team across multiple locations.
* Strong generalist knowledge of the FCA Handbook, particularly COBS, SYSC and PRIN (including Consumer Duty). Familiarity with Connect, RegData, AML controls and conduct risk.
* Level 4 CII Diploma in Regulated Financial Planning or equivalent relevant qualification.
* Analytical mindset; ability to translate data into actionable insights.
* Confident presentation to senior management.
Please note, if feedback is not received within 28 days due to high application volume, your application may be unsuccessful. We may be in touch with similar relevant opportunities.
If you would like this job advertisement in an alternative format, please contact MERJE directly.
Seniority level
Mid-Senior level
Employment type
Full-time
Job function
Finance and Management
Note: This job description consolidates the essential duties and requirements for the role and does not imply a contractual obligation. All qualified applicants will receive consideration for employment without regard to any protected characteristic.
#J-18808-Ljbffr