Compliance Manager - Financial Planning Practice - Southern Kent

Compliance Manager - Financial Planning Practice - Southern Kent - Knowledge of FCA Regulations for Financial Advisers is key!
My client are a well-established 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. Perhaps an Adviser who no longer wishes to be client facing. The successful candidate will be working directly with the owners and existing staff to ensure the company adheres to FCA guidance and their 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.

• Developing and overseeing control systems
• 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
• Identify possible compliance risks

• 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 then please get in touch.