Our client, an already sizeable but expanding Financial Planning practice, is seeking an experienced and astute senior Compliance Manager to oversee its compliance and regulatory function.
This business, established in the local area for a number of years and with offices across the South West, has developed an enviable reputation across the region, providing first class private financial planning solutions for a broad client base of high net worth individuals. A Directly Authorised practice, it boasts some 25 Advisers as well as additional trainees coming through the development/ sign off process, with advice-related turnover around £4m and Funds Under Management of c£300m.
You will have overall responsibility for the compliance and MLRO function of the business, holding CF10 and CF11, being responsible for strategic oversight, planning and delivery of the company’s compliance function. More specifically, T&C, supervision/ Adviser 1 to 1’s, compliance monitoring, RMAR/ general reporting, systems and controls and complaints handling will all fall under your remit, reporting directly to the Board. You will be assisted in the monitoring and supervision of Advisers by the incumbent Sales Director. You will review existing processes and procedures, making improvements where necessary and enhancing best practice.
Clearly previous experience is essential, along with detailed knowledge of the FCA’s rules and regulations. Demonstrable knowledge of the advice process, a strong technical understanding of the product range and a sound understanding of anti-money laundering/ SYSC are all considered prerequisite. Being a qualified pension transfer specialist (G60/ AF3 or equivalent) would also add significant weight to your application, though is by no means a deal breaker. The confidence and ability to present to large groups is also essential.
In return, you will enjoy a very attractive basic salary, reflective of the seniority and responsibility of the position, together with additional benefits. This role presents an opportunity for career progression both in the mid and longer-term, with the division to grow as the business expands.
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