Salary: £50,000 to £65,000
Location: Birmingham, West Midlands, Bromsgrove
Ref: 409 - C.MGR - MH
Compliance Manager - Wealth Management - £50,000 - £65,000 (dependant on experience)
NOTE: YOU MUST HOLD THE DIPLOMA IN FINANCIAL PLANNING, OR EQUIVALENT, AS A MINIMUM TO BE CONSIDERED FOR THIS POSITION
An opportunity for an existing Compliance Manager to join a UK wealth management company with significant ambitions. The existing business has a strong, stable footprint in the UK and is well placed to support acquisitions in the pipeline.
If you currently hold CF10 as a Compliance Manager, great, but equally if you have sufficient experience without holding the FCA approved persons responsibility in a Senior Compliance Manager role and are looking take the next step in your career, our client would be interested to discuss your experience and consider you for this position.
You’ll need to be of a flexible and adaptable character, enjoy the challenge of integrating businesses, systems and process to achieve a ‘win win’ situation as a best practice principle, whilst ensuring the business maintains and upholds the highest ethical and procedural values within the requirements of the FCA code of conduct. You’ll not only be sufficiently competent to recognise changes and remedial work required within the business but also recommend well thought out and practical solutions.
Some of the tasks associated with a Compliance Manager are, but not limited to;
* Support the business in all matters pertaining to the compliance function of the business.
* Identify and manage compliance risks, provide solutions which underpin the business' commitment to * fair treatment of our customers
* Establish effective relationships and provide trusted, pragmatic and pro-active compliance support to all areas of the UK business
* Support the business in achieving its strategic objectives while demonstrating business values and promoting culture of accountability
* Participate in client audits, prepare for visits, collate feedback and identify and manage changes required
* Play an active role in raising regulatory awareness through training in the business
* Review and approve business documents including procedures, strategies and letters
* Establish and maintain effective relationships both internally and externally, providing assurance support to all areas of the business e.g. change, strategy, ops
* Support business in identification, management and resolution of incidents as and when required
* Identify and escalate any instances of regulatory breaches via appropriate governance
This is a genuine opportunity to join a highly successful group and develop the wealth proposition moving forward.
Take charge of your career and apply now!
You will be rewarded with a very generous basic salary, bonus potential and benefits package including a whole range of flexible benefits.
Due to the high amount of interest that we receive for each of our roles unfortunately we cannot respond to each application individually, therefore if you do not hear back from one of our consultants you have not been shortlisted for this role.
Please note that our client is an equal opportunities Employer and adheres to all relevant legislation and offer services regardless of age, race, sex, disability or religious belief.