Compliance Manager - Chartered Ifa Business - Southern Kent

Compliance Manager - Chartered IFA Business - Southern Kent

My client are a well-established Chartered IFA practice who I have met and placed 5 staff into the business. They have been operating for over 20 years and have a very loyal client based of city professionals, retirees and business owners spread across Kent who take advice on a whole of market basis. The business has big plans for expansion in 2024 and to do this they are seeking an experienced compliance professional to join their dynamic team of Chartered Financial Planners and Paraplanners.

This is an exciting opportunity for a seasoned Compliance professional or possibly a Paraplanner who is looking for a slightly different role but with experience in a similar role within the financial services sector. The successful candidate will be working directly with the owners and existing staff to ensure our company adheres to FCA guidance and our own in-house policies. Your expertise in effective risk management and regulatory knowledge will play a crucial role in maintaining our company's integrity and reputation.

Responsibilities include:

Developing and overseeing control systems to maintain regulations and internal policies
Evaluating the efficiency of controls and improving them continuously
Revising procedures, reports, etc
File checking
Assessing the company’s future ventures to identify possible risk
The ideal candidate will possess:

Proven experience in a compliance role within the financial services sector
In-depth knowledge of the FCA standards and regulations
Excellent knowledge of reporting procedures and record keeping
Outstanding communication and interpersonal skills
This office-based position and offers a competitive salary and benefits package and the opportunity to work with a dedicated team of financial planning professionals.

If you're ready to take the next step in your career and make a significant impact in a growing company please get in touch.