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Job: Compliance Manager
Salary: £35,000 - £40,000 p.a + Benefits
Authentic Recruitment is currently seeking an experienced Compliance Manager to join an established IFA firm in Sheffield city centre.
Your main responsibilities as my clients Compliance Manager will include:
Monitor KPI’s and Quality of Advice.
Conduct risk-based business checking reviews.
Review systems and procedures in place for quality of advice, T&C and compliance to ensure they are up to date with FCA guidelines.
Keeping up to date on industry and regulatory changes and take appropriate action within the firms to ensure risk controls are appropriate.
Creating and maintaining risk management controls within the businesses.
Adhoc project work as required.
Customer complaint handling.
Maintenance of Compliance Procedures and Manuals.
Participating in Advice and Investment Monitoring Committees as appropriate.
Working with the directors of the businesses on all aspects of the business.
My client is looking for someone with extensive experience working in a Compliance Manager capacity within an IFA environment and with a knowledge of the FCA regulatory and industry requirements.
You will be a dedicated team player with good interpersonal skills and the ability to communicate effectively with both colleagues and clients.
The successful Compliance Manager will ideally be Diploma level 4 qualified or working towards it. You must be comfortable working under pressure to meet deadlines and have the ability to use your own initiative as well as working without close supervision.
Other skills required: Excellent IT skills, particularly Microsoft Office.
Salary: £30,000.00 to £40,000.00
Pension 8% none contribution scheme.
Flexible working hours – work from home 1 day a week
Pay increase yearly.
compliance: 2 years
financial services: 2 years
If you feel you need more information, please feel free to ring Jamie at Authentic Recruitment.
Authentic Recruitment is acting as an Employment Agency in relation to this vacancy. Authentic Recruitment is an Equal Opportunities Employer.
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