Compliance Manager

Heat Recruitment
Mansfield Woodhouse, UK
04 Dec 2018
05 Jan 2019
Contract Type
The Client There is a fantastic opportunity here to for a successful Compliance Manager to join a well-established Financial Services Practice with a national reach. Our Client are a growing practice with a great industry name, focus on providing a highly personalised financial planning and investment management service with the Client at the heart of everything they do. The Opportunity The chance has arisen for a successful Compliance Manager to join their existing team to provide in-house compliance support including complex case / high risk submission checks and file monitoring. You will have the opportunity to progress within the firm as this practice continues to grow whilst receiving support with any further industry qualifications you may have the ambition to obtain. This role will have a 12-18 month transition in to the Compliance Directors role here for the right candidate should they wish to pursue this. In order to be considered for this unique opportunity, candidates need to have - Level 4 Diploma qualified or working towards this is preferable, particular qualifications of interest G60 / AF7 / R08 Previous compliance experience and a good level of IFA Compliance knowledge is required Experience in the review of code of ethics related compliance matters (i.e. personal account dealing, outside business interests, and gifts, benefits and entertainment) Clear confident and enthusiastic communicator What next? Apply today to be considered for this opportunity. If suitable, one of our specialist consultants will be in contact to discuss the opportunity with you in detail prior to submitting your CV to the client. In this discussion, we will aim to identify your specific skills and motivations, and where appropriate recommend other relevant opportunities to you that match your requirements. Additionally, refer a friend or colleague to us and receive £200 in vouchers if we assist them in securing a new career. Synonyms: T&C Manager, Compliance Adviser, Senior Compliance Manager, File Checker, Oversight Manager, File Reviewer