Compliance Manager

Compliance Manager - Worcester/Gloucester - up to £55k - Full time/Part-time

An exciting opportunity has arisen for an experienced compliance Manager to join a growing wealth management practice in their Droitwich/Gloucester office.

The firm have been voted on Vouchedfor as one of the best advisors by client reviews in 2024. Their typical clients are: Business owners, professionals & senior executives, retirement planning, already retired and more.
The role has come around due to some re-structuring in the company and the successful candidate will be working along side senior Directors in the firm.

What’s on offer?

• Company performance and individual performance bonus
• Hybrid working for the ideal candidate
• Electric Car + Cycle to work scheme
• DIS X 4
• Company pension scheme
• Office shutdowns for company events
• Social Events
• Pension Contribution

Key Responsibilities

• Develop and deliver a sustainable risk based compliance programme.
• Identify compliance process improvements/weaknesses and present solutions where appropriate.
• Monitor and maintain regulatory registers to identify relevant risks.
• Work with external file check support to ensure robust and compliant advice files, identify improvements and implement required changes.
• Manage day to day compliance activities alongside the compliance associate.

You will need to have wealth management experience to be considered for this Compliance Manager position.

What’s next?

Apply today to be considered for this compliance Manager 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 if we assist them in securing a new career.

Synonyms: IFA, Compliance Manager, Compliance Officer, Compliance Executive, Financial Planning, Financial Advice, Financial Advisor, Financial Planner, Financial Adviser, Compliance Consultant, FCA, Oversight, Monitoring, file review, compliance technician
#LI-JM1