Financial Services Compliance Manager

20 Oct 2020
29 Oct 2020
Contract Type
Full Time


Financial Services Specialist Recruiters

Job Title:Financial Services Compliance Manager


Salary:GBP30,000 (Salary Dependent on qualifications and experience)

About the Company:

We are looking for a professional Financial Services Compliance Manager, you will be responsible for ensuring the company complies with its outside regulatory requirements and internal policies.

You will be working in a friendly and welcoming IFA practice, this is a great opportunities for someone who has worked in a Wealth management firm proving full compliance to the team.

What Your Day to Day Duties Will Include:

?? Perform risk assessments to understand risk level, significance and scope

?? Keep up to date with, and understand, relevant laws and regulations

?? Monitor compliance with laws, regulations and internal policies

?? ensure that your findings are recorded and followed up with management so that issues can be rectified

?? Educate employees on not only the regulations, but also the impact on the organisation if these aren't complied with

?? Investigate irregularities and non-compliance issues

?? Report back to business functions on current risk and compliance performance

?? Highlight or escalate areas of concern

?? Contribute to robust and effective compliance controls within the organisation

?? Review marketing materials, presentations and websites to ensure compliance with regulatory requirements

?? Assist in the gathering of internal information in response to regulatory requests

?? Perform various general administrative duties (such as file creation and maintenance of ongoing administrative projects)

?? Collaborate with other departments to create a culture of compliance.

What is Needed to Be Considered:

?? Have worked in a regulated Financial Services firm before within their Compliance or Legal teams.

?? Have a thorough understanding of FCA regulation and how that applies to a trading firm.

?? Written and verbal communication skills are vital. The compliance officer must have the ability to communicate at all levels in the organisation so that they can pass around the relevant information that is understandable at the right time.

?? Being able to work on different tasks at the same time.

?? Having analytical mind.

?? Being well organised.

?? Having teamwork skills.

?? Having good communication abilities.

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...... click apply for full job details