Senior Compliance Manager - Chartered Ifa Firm - Kent Based Role

Senior Compliance Manager - Chartered IFA Firm - Kent based role - Salary - negotiable based upon experience

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 professional who has a minimum of five years of experience in a similar role within the financial services sector.The successful candidate will be working directly with the owners and existing compliance 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 compliance risks

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, we'd love to hear from you. Please get in touch with Peter at Financial Divisons for a chat.