Compliance and Operations Manager required for boutique financial planning organisation. This role is a pivotal link in the company between the business, workflow and also ensuring the firm remains compliant and profitable. A key part of the role will be managing the FCA CRM database systems as well as liaising with the FCA to ensure the firm is compliant. This role is based in the City and will pay up to 55k.
Responsibilities also include:
*Chairing the Investment Committee
*Running Advisor 121 meetings
*P11 submissions
*Monitoring file reviews
*Managing Information Flow meetings
HR duties will also include:
*Recruitment
*Employment contracts and staff handbook
*Staff Annual Reviews
*Managing and organising staff incentives
Company Administration and Compliance
*IT Security
*Management of IT hardware and software
*Board meetings and business planning
*Marketing campaigns
The ideal candidate will have five years plus experience in an operations of a senior administrator role and ideally have Prince 2 qualification and be Tech savvy with excellent Excel skills.
You will be a:
*Team player
*Work well in a team
*Be a hard worker with a positive team attitude


*Benefits include:
*Quarterly bonus scheme
*Private Medical Insurance
*Pension
*Annual holiday
*Flexible working