Our client, an already sizeable but expanding Financial Planning practice, is seeking an experienced and astute Compliance Manager to help oversee its compliance and regulatory function.
This business, established in the local area for a number of years, has developed an enviable reputation in the wider community, providing first class private wealth management 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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