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.
- 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