Compliance Manager (2478)

Ref: 2478

Salary £50K to £60K DOE | Hybrid Working | Plymouth

Our client, one of the South West’s leading firms of Independent Financial Planners whose team of experienced financial professionals are united by a shared belief in the value of simplicity, transparency and openness are seeking a Compliance Manager to join their team based in Plymouth.

Reporting directly to the Board, you will play a crucial role in ensuring the firm operates in accordance with the requirements of the FCA Handbook and adheres to the Conduct Rules.

This is a full-time permanent role with hybrid and flexible working.

Key responsibilities:

  • Maintain detailed and accurate compliance records, reporting any identified compliance issues
  • Responsible for Implementing and upholding Consumer Duty
  • Deliver Staff training
  • Assist where required with the preparation and submission of FCA regulatory returns
  • Assist with the investigation of complaints, errors & omissions, and data breaches.
  • Review, update, and implementation of policies and process standards

Skills, Qualifications and Experience:

  • Diploma Level 4 qualified or equivalent and desirable Compliance Qualifications
  • Experience of working in a similar role in Financial Services
  • Knowledge of Pensions, Investments, and protection
  • You will be highly organised with great attention to detail
  • You will have the ability to coach advisers

The benefits package:

  • Competitive Salary £50K to £60K DOE
  • Competitive employee benefits package
  • Company Pension Scheme
  • 25 days holiday plus bank holidays
  • Option to buy or sell 5 days holiday per year
  • Training and qualifications programme available
  • Friendly and supportive working environment
  • Annual pay reviews

If you would like to find out more information about the role, apply today!

Recruitment Consultant: Joanne Howell

Ref: 10298