Compliance Manager

Compliance Manager

We have an exciting role for a seasoned Compliance Manager with a background in financial advice and a thorough understanding of the SMCR. You will play a crucial role in ensuring our operations adhere to regulatory requirements and industry standards.

The ideal candidate will have a proven track record in compliance management within the financial advice sector, with a deep understanding of the Senior Managers & Certification Regime (SMCR).

Key Responsibilities:

• Oversee and manage the compliance function, ensuring adherence to relevant regulations and industry best practices.
• Develop, implement, and maintain compliance policies and procedures.
• Provide guidance to senior management on compliance issues and regulatory developments.
• Conduct regular compliance risk assessments and monitor ongoing compliance activities.
• Ensure the business operates within the parameters of the SMCR and other applicable regulatory frameworks.
• Collaborate with cross-functional teams to enhance compliance awareness and training programs.
• Conduct internal audits and reviews to identify areas for improvement and risk mitigation.

Qualifications and Experience:

• Diploma in Regulated Financial Planning is advantageous
• Extensive experience working in compliance roles within the financial advice sector.
• Proven experience with the Senior Managers & Certification Regime (SMCR).
• Strong knowledge of wealth management industry regulations and compliance requirements.
• Excellent understanding of financial products, services, and risk management.
• Demonstrated ability to develop and implement effective compliance programs.
• Exceptional communication and interpersonal skills.

Key Competencies:

• Analytical and detail-oriented.
• Strong problem-solving skills.
• Ability to work independently and collaboratively.
• Effective leadership and management skills.
• Excellent communication and presentation skills.
• Ability to adapt to a dynamic and evolving regulatory landscape.

Due to the high amount of interest that we receive for each of our roles unfortunately we cannot respond to each application individually, therefore if you do not hear back from one of our consultants you have not been shortlisted for this role.

Please note that our client is an equal opportunities Employer and adheres to all relevant legislation and offer services regardless of age, race, sex, disability, or religious belief.