Regional Compliance Manager - Expanding Advisory Company

Oval Recruit
Ash Vale, UK
18 Mar 2019
16 Mar 2019
Contract Type
Level of qualification
Regional Compliance Manager - Expanding Advisory Company Guildford - £65,000 Great Package A leading UK Financial Services Group who are undergoing rapid expansion have a new challenging career opportunity for an experienced Compliance Manager with significant Private Client Advisory Experience. This is an excellent opportunity for a compliance professional to join an entrepreneurial company that has ambitious growth plans. They are looking for a proactive individual that wants to add value and contribute to the development of the department. Specifics of the role will involve - Add value to Compliance Department by assisting with the design and implementation of compliance procedures Help produce and implement the Compliance Plan and Monitoring programme. Identify risks that may have an impact on the business and discuss with Compliance Director as required. Monitor Advisors and consultants ensure that any training or development requirements are attended to. Highlight any findings within the monitoring programme. Investigate complaints and errors, following internal and FCA guidelines. Ensure all records of updated and recorded in line with procedure. Educate all staff on polices and changes that could affect the business. Provide a Compliance induction to all new joiners and ensure that they have a full understanding of company policy and requirements. Help manage compliance projects. To apply for the position, you must have field based Private Client Compliance Advisory experience, hold a full diploma plus hold, or be working towards, an additional pension qualification R04; J04; J05; AF3 (being replaced by AF7) at least one of these) - R08 would be a bonus and be experienced in dealing with pension and investment products. In return the offer: Exciting career development prospects The chance to have a real impact on company growth Fantastic remuneration package For more information please contact Briony Malden