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Compliance Manager

Employer
Coast Specialist Recruitment
Location
Manchester, UK
Salary
Competitive
Closing date
Feb 26, 2019

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Job Role
Compliance Accountant
Sector
Finance
Contract Type
Permanent
Hours
Full Time
A well established wealth manager has an excellent opportunity for a compliance/file checker to join the team. Job Purpose is to carry out business quality reviews in accordance with the companies risk based business quality monitoring programme. Assess the quality of advice and adherence to the clients business standards and regulatory requirements and identify material risks to clients and the company. Provide feedback to advisers and sales management on the risk identified, together with the actions necessary to manage or mitigate the risks. Assist in training of new advisers and Paraplanners and remedial training of advisers where required. The position will involve file checking, answering client compliance queries, reviewing and updating in house procedures, training advisers, reviewing CPD activity, collating management information and annual audits. You would never be required to recruit your own clients, this is not a sales position and there are no targets. The successful candidate will be an experienced Compliance Consultant who is currently or who has previously worked within the IFA arena. You will have experience of reviewing files and giving feedback to either the principal of the firm or the adviser's themselves.

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