Job Description

EXCLUSIVE: COMPLIANCE MANAGER 3D PW – IFA/PWM COMPLIANCE EXPERIENCE REQUIRED

£60K Pro Rata + generous benefits Hybrid (Manchester)

Ref:4117D3

We are exclusively recruiting for a niche PWM firm now looking to take on their first Compliance staff member. Reporting to the MD (who also holds SMF 16 &17) duties include;

• • Overseeing the firm's compliance framework, ensuring adherence to FCA rules (especially under the Senior Managers & Certification Regime and Consumer Duty).
• Monitoring adviser activity to ensure compliant advice processes and documentation.
• Conducting file reviews, risk assessments, and internal audits.
• Completing all regulatory filings and submissions in line with FCA timelines.
• Keeping up to date with regulatory developments and updating policies accordingly.
• Providing training and guidance to advisers and support staff on compliance matters.
• Handling complaints, breaches, and regulatory reporting.
• Liaising with the FCA, compliance consultants, and other third parties as needed.
• Providing compliance expertise and advice for ad hoc projects eg acquisitions.
• Creating and running a compliant onboarding process for new recruits.
• For new advisors, to take them though to becoming competent (CAS) including (but not limited to) observations, training and updating files and the FCA.

You must have previous experience of some of the above especially File Review, Regulatory Returns and able to assist new advisors with T & C. Also although only 3d PW for the moment (possibly 3 ½) as the firm expands over the following year, more days may be offered if desired and/or taking on the SMF 16 & 17 (both resulting in pay increases of course)

May suit someone with an existing part time role, someone returning to work, a contractor now looking for a permanent role or a recent retiree still looking to work but not full time. Role is 1 day in the office (2 min walk from Victoria or 15 min from Piccadilly) and rest WFH. NB Benefits inc a total of 27 days holidays (pro rata)

So, if that sounds like you, then please send your details to our MD, David Symes FCA, at david@compliancerecruitment.com (including contact no) however please note we cannot reply to all applications so only successful applications will be contacted (although under no circumstances are your details ever passed on without your specific permission).

Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role.

The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge.