Ifa Compliance Manager

Reed Financial Services are proud to be representing a well-known local IFA firm based in the heart of Bath who seek a compliance professional to join their business.

My client is long standing who focus on private client and corporate advice. They have recently brought in a new MD as the former MD retired after 20 years' service. They have a lot of longevity in the business which is a good sign that it’s a good outfit who look after their employees.

They seek a Compliance Officer, 45-60K ideally on a hybrid basis.

The main duties that the new Compliance Officer will need to undertake are as follows:

• Deal with FCA
• Complete and submit all regulatory returns
• Deal with Complaints
• Train staff where required on all aspects of Compliance
• Update and implement the firms policies and procedures on all aspects of compliance and firms procedures
• Deal with queries from Advisers
• Be the focal point for support from admin staff and advisers
• Be able to file check
• Undertake 1-1 meetings with advisers
• Train and develop the advisers - T&C
• Conduct all work required under SMCR

The successful candidate will not have SMF 16 or 17, the MD would have these responsibilities, they are a compliance professional with over 30 years' experience and will be able to provide support where required and if needed help with the above tasks, which of course is not exhaustive.

In return a competitive salary and good benefits can be offered, with hybrid working and also the opportunity to make the role their own and develop into a more senior position and take over more responsibilities from the MD.

If this interests you please get intouch to discuss further and apply.