Compliance Manager

Position: Compliance Manager

Location: Bristol

Salary: GBP30,000 - GBP40,000 Negotiable DOE

The client:

We are currently recruiting for a Compliance Manager on behalf of a firm of Independent Financial Advisors based in Bristol.

Ideally you will be Diploma qualified or at least close to it, and will be responsible for assisting the IFAs within the business and will be given the opportunity to implement your own ideas and grow the team.

Parking is available along with career progression where you will be able to grow from within

Responsibilities:

To maintain business practices, which comply with both the Financial Services and Markets Act as regulated by the Financial Services Authority and their own internal requirements for regulated business, along with other relevant legislation e.g. Data Protection, Money laundering etc Provide recording and statistical data support to the process of File Reviews ensuring that all reviews are properly identified, recorded, communicated to parties concerned and then actively managed to facilitate a quality clearance rate

Recording learning points derived from the File Reviews and assist in conveying the learning to management/advisers so that quality improvement can be seen

Ensure standards of compliance and processes are met across the business in all duties performed

Undertake ongoing reviews of documentation in use to ensure current and appropriate for continued usage

Assist Head of Professional Standards and Compliance Executive with tasks as assigned

What's needed for me to be considered?

Diploma Level 4 qualified is ideal

Existing experience in Financial Services compliance or risk control

Experience of working with bespoke software packages used for financial Planning and support

Strong analytical skills

Ability to work under pressure to high standard of accuracy

Self-motivated quick learner

What next?

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 GBP200 in vouchers if we assist them in securing a new career.

Interpersonal skills in dealing with successful salespeople and colleagues

Undertaking analytical and research tasks with some autonomy