Compliance Manager

We are partnered with a well-established and respected independent financial advice firm who are seeking a Compliance Manager on a permanent basis.

As Compliance Manager you will lead and manage all aspects of the regulatory compliance framework. This is a critical role responsible for ensuring the continued adherence to FCA regulations, industry best practices, and internal policies, thereby safeguarding clients' interests and the firm's reputation

Flexible hybrid working arrangements are available with travel to the Shropshire office required around 3 times a month (dependent on the needs of the business).

Role Responsibilities:

• Regulatory Oversight: Monitor and interpret changes in FCA rules and guidance, assessing their impact on the business and implementing necessary adjustments to policies and procedures.
• Policy & Procedure Development: Develop, maintain, and review comprehensive compliance policies, procedures, and controls.
• Training & Awareness: Deliver effective compliance training to all staff, fostering a strong compliance culture across the firm.
• Monitoring & Assurance: Conduct regular compliance monitoring, audits, and risk assessments to identify and mitigate potential compliance breaches.
• File Reviews: Conduct robust client file reviews to ensure suitability, accuracy, and adherence to regulatory requirements.
• Reporting: Prepare and present regular compliance reports to senior management and the board.
• Breach Management: Investigate and report any compliance breaches, ensuring appropriate remedial action is taken.
• Relationship Management: Act as the primary point of contact for the FCA and other regulatory bodies, as required.
• SM&CR: Support the firm's adherence to the Senior Managers & Certification Regime (SM&CR).
• Financial Promotions: Review and approve financial promotions and marketing materials for regulatory compliance.

Key Skills & Experience:

Essential:

• Relevant financial planning compliance qualifications (e.g., Diploma in Regulated Financial Planning, or other financial planning qualifications - Mandatory).
• Proven experience (minimum 2 years) in a dedicated compliance/file checking role within a UK financial advice practice or regulated financial services firm.
• Excellent understanding of financial products and services (e.g., pensions, investments, protection).
• Strong analytical skills with the ability to interpret complex regulations and apply them practically.
• Exceptional attention to detail and accuracy.
• Excellent communication (written and verbal) and interpersonal skills, with the ability to influence and educate at all levels.
• Proactive, self-motivated, and able to work autonomously as well as part of a team.

Desirable:

• Experience with specific compliance software or systems.
• Experience in a firm that has recently undergone a significant regulatory change.

Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately, your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.

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