Our client, a rapidly expanding financial planning practice, is looking to strengthen its support function with the appointment of an experienced Compliance Manager.
This business, enjoying a period of strong organic growth, has developed an enviable reputation in the wider community, providing first class private financial planning solutions for a broad client base of high net worth individuals.
You will have an initial focus on pre and post-sale file checking, across all areas of independent financial advice. There will be an emphasis on life, pensions and investment reviewing, along with further complex and high-risk cases. As such, a comprehensive understanding of current regulatory requirements is essential, as is experience of working within a financial planning/wealth management environment. You will also liaise with the advice team, ensuring fully compliant advice is given across the range of financial products and services provided. There is a genuine opportunity to be directly involved in shaping the compliance function of the business; putting processes in place to ensure that it is proactive in its approach, rather than reactive.
It is vital that you have relevant experience within a similar position and experience of file reviews across life, pensions and investments. Ideally, you will be Level 4 Diploma qualified, though our client will consider applications from candidates that have substantial ‘on the job’ experience.
In return, you will enjoy a generous basic salary, reflective of your experience and qualifications, together with additional benefits. This role presents an opportunity for career progression both in the mid and longer-term.
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