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Compliance Director OR Manager - Financial Services - Prestigious IFA

Job Type:
Financial Services
London & South
Salary range:
£60, 000 - £69, 999, £70, 000 - £79, 999, £80, 000 - £89, 999
Salary Description:
circa £60K - £80K (Neg) plus benefits
Start Date:
Job Ref:

This is an outstanding opportunity for a Compliance Director OR Manager to join a well-established and highly respected IFA.

This very successful business is enormously proud of its fine reputation in the market; enjoying a loyal client base and an extremely low staff turnover. Employees relish the friendly and supportive working environment, which is free from a lot of the bureaucracy that can be found in the larger firms. Refreshingly, this is a progressive and expanding business that is ‘very on-board with compliance.’

My client is flexible with this role. Either you could join in a Compliance Manager position and report into a Director who has SMCR responsibilities. Alternatively, there is the option to join as Compliance Director, where you will sit on the board and hold SMCR responsibilities yourself. The remuneration package will obviously reflect the level in which you join.

This is a varied, senior Compliance role, which will include submitting regulatory reports (with a lot of assistance from the internal team), keeping abreast of regulatory changes and assessing the impact of these on the business, as well as presenting to the company and the board on industry developments. You will also work in conjunction with the T&C Manager to complement their offering, and handle the extremely occasional complaint. Additionally, it is likely that you will be involved with recruitment and contributing towards the overall business strategy.

This is not an ordinary Compliance Director / Manager role. You will be given a good level of autonomy, and you will enjoy working for a firm that genuinely listens to employees’ ideas. In fact, it is likely that you could be rewarded with a generous bonus for things that you achieve that are ‘above and beyond.’

Very interestingly, for the right person, there could be the option to become a future shareholder.

It is essential that you have held a senior Compliance role with an IFA (or very closely-related business), and that you hold a strong understanding of the key products in this arena, including but not limited to, pensions and investments. Just as importantly, you’ll be a team player, with a positive approach to compliance.

You will be rewarded with a basic salary ranging from circa £60K - £80K (negotiable, depending on experience) plus a range of company benefits, including support with professional qualifications.

We are anticipating a great deal of interest in this role. If you hold the required experience and want to join a business where you can make a real difference, potentially join the board, and potentially work towards gaining equity, then apply in confidence today.

Aston Charles - a personalised service from industry experts

Financial Services and General Insurance Recruitment

Contact Details:
Tel: 0345 193 2460
Contact: James Heald

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