Compliance Manager (Financial Advice)
Up to £60,000 + benefits
I am pleased to be working closely with a forward-thinking, successful and highly-regarded Wealth Management organisation in the Birmingham region to assist with the appointment of an experienced Compliance Manager due to organic growth within the their team. Reporting directly into the Regulatory Compliance Director but being the "go to" Compliance professional within the Birmingham office, the appointee will play an instrumental role in the provision of high quality advice to the business on regulatory and compliance matters. Assisting in the ongoing development and enhancement of compliance and regulatory risk management arrangements is also a key aspect associated with this position.
Some of the key duties and responsibilities include but are not limited to:
- Develop and implement company policies to meet legal, regulatory and business requirements
- Provide sound advice on regulatory matters, including the application of relevant requirements in the FCA handbook
- Monitor regulatory developments and advise on their relevance for the business and necessary actions to be taken
- Draft compliance policies and procedures
- Prepare and deliver high quality training to staff on regulatory matters
- Review of financial promotions
- GABRIEL reports
The successful candidate will have broad all-round compliance experience and exposure within a Financial Planning/Wealth Management environment rather than the wider Financial Services sector. Exceptional technical and analytical skills are important, and progress made towards relevant Compliance qualification and/or the Diploma in Regulated Financial Planning will be advantageous.
If you meet the criteria above and are interested to find out more, please contact Antonia Mihaylova at Search Financial Services in the strictest confidence on 07580 429 541 or at email@example.com. Alternatively, I can be contacted via LinkedIn.
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Search is an equal opportunities recruiter and we welcome applications from all suitably skilled or qualified applicants, regardless of their race, sex, disability, religion/beliefs, sexual orientation or age.