Compliance Manager Middlesbrough £30,000 - £40,000 Excellent Benefits Our Client is a well known and highly regarded Wealth Management firm with offices based in Middlesbrough. This firm of Independent Financial Planners offer genuinely bespoke advice on a variety of Investment, Pensions and Protection products to a diverse range of HNW individuals. Working from their prestigious offices based outside the town centre, you will be working as the Head of Compliance and carrying out a variety of file reviews , manage the TC process and advise on compliance issues. Responsibilities include : Ownership of the Compliance Monitoring Programme and oversight of monitoring staff ensuring routine and ad hoc work tasks are completed on time and to a satisfactory standard. To ensure all routine and ad hoc monitoring is completed to an acceptable standard and findings appropriately dealt with Where appropriate to attend and provide compliance input on specific business meetings To assist in responding to compliance enquiries from all areas of the business and providing pro-active advice where necessary. To conduct comprehensive file reviews on a range of pension and investment products. To undertake compliance and business projects when the need arises. To develop own professional expertise through on the job training, formal training and, where appropriate, professional qualifications. To carry out any other duties as may reasonably be required. The successful candidate will need to have previous experience working in a senior compliance position with a deep understanding of compliance, preferably within a wealth management or private banking environment. The candidate will be highly professional with very strong communicators. The ability to work as part of a professional team is essential. It is essential that the candidate will hold a full Level 4 Diploma in Financial Planning, ideally through the CII, although Level 4 equivalents would be accepted. For further information please contact one of our specialist consultants quoting REF:NJR8405