Full job descriptionCompliance Manager
*Maintain and develop the firm’s compliance framework.
*Ensure ongoing compliance with FCA rules and regulations.
*Monitor developments from the FCA, Financial Ombudsman Service (FOS), Information Commissioner’s Office (ICO), and other relevant regulatory bodies.
*Interpret regulatory changes and implement necessary procedural updates.
*Support the firm’s Senior Managers & Certification Regime (SMCR) obligations.
Compliance Manager
*Design and execute the Compliance Monitoring Programme (CMP).
*Conduct adviser file reviews and suitability assessments.
*Monitor client outcomes in line with Consumer Duty requirements.
*Review financial planning recommendations, suitability reports, and client documentation.
*Identify compliance risks and recommend corrective actions.
Compliance Manager
*Provide technical compliance guidance to Financial Advisers, Paraplanners, and administrative teams.
*Assist with complex pension, investment, inheritance tax, and retirement planning cases from a regulatory perspective.
*Support advisers with FCA conduct rules and ethical standards.
Compliance Manager
*Monitor adherence to Consumer Duty requirements.
*Assess evidence of good customer outcomes.
*Review complaints, vulnerable customer processes, and service standards.
*Produce Consumer Duty management information and reporting.
Compliance Manager
*Maintain the firm’s risk register.
*Monitor operational, regulatory, and conduct risks.
*Conduct thematic reviews and root cause analysis.
*Escalate material compliance issues to senior management.
Compliance Manager
*Oversee Anti-Money Laundering (AML) procedures.
*Support Know Your Customer (KYC) and client due diligence processes.
*Conduct periodic AML monitoring and staff awareness activities.
*Investigate suspicious activity and liaise with relevant authorities where required.
Compliance Manager
*Oversee complaint handling procedures.
*Investigate complaints and ensure FCA complaint handling standards are met.
*Monitor complaint trends and identify areas for improvement.
*Liaise with FOS where necessary.
Compliance Manager
*Support the Training & Competence (T&C) scheme.
*Deliver compliance training to advisers and support staff.
*Monitor adviser competence and regulatory CPD requirements.
*Assist with annual competency assessments.
Compliance Manager
*Prepare compliance reports for senior management and the board.
*Present compliance findings and recommendations.
*Maintain regulatory documentation and registers.
*Assist with FCA returns and regulatory reporting obligations.
Compliance Manager
*Minimum 5 years’ experience within financial planning, wealth management, or regulated financial services.
*Strong knowledge of FCA Handbook requirements.
*Understanding of Consumer Duty regulations.
*Experience conducting suitability and file reviews.
*Knowledge of Retail Investment and Insurance Distribution regulations.
*Strong report writing and analytical skills.
*Excellent stakeholder management and communication skills.
Compliance Manager
*Experience within an IFA or Wealth Management business.
*Knowledge of pensions, investments, protection, and retirement planning.
*Experience managing compliance monitoring programmes.
*Previous people management or supervisory experience.
Compliance Manager
*Level 4 Diploma in Regulated Financial Planning (CII) or equivalent.
Compliance Manager
*Immediate in-person interviews
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