Regional Compliance Manager - Expanding Company / Good Career Options

Oval Recruit
£60,000 per annum
13 Apr 2018
10 Jul 2018
Contract Type
Full Time

Regional Compliance Manager - Expanding Company / Good Career Options

Birmingham - £60,000 + Package

A leading UK Financial Services Group that are undergoing rapid expansion have a new challenging career opportunity for an experienced Compliance Manager with significant Private Client Advisory Experience.

Specifics of the role will involve -

  • Add value to Compliance Department by assisting with the design and implementation of compliance procedures
  • Help produce and implement the Compliance Plan and Monitoring programme.
  • Identify risks that may have an impact on the business and discuss with Compliance Director as required.
  • Monitor Advisors and consultants ensure that any training or development requirements are attended to. Highlight any findings within the monitoring programme.
  • Investigate complaints and errors, following internal and FCA guidelines. Ensure all records of updated and recorded in line with procedure.
  • Educate all staff on polices and changes that could affect the business.
  • Provide a Compliance induction to all new joiners and ensure that they have a full understanding of company policy and requirements.
  • Help manage compliance projects.

This is an excellent opportunity for a compliance professional to join an entrepreneurial company that has ambitious growth plans. They are looking for a proactive individual that wants to add value and contribute to the development of the department.

To apply for the position, you must have field based Private Client Compliance Advisory experience, hold a full diploma and be experience in dealing with pension and investment products.

For more information please contact Richard Garbett