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The Compliance Manager will be working closely with the Head of Compliance for the Wealth Management & Financial Planning business in providing regulatory and technical advice on all compliance issues.
The successful candidate will have:
- Extensive experience in Compliance within financial services (in-house or consultancy) preferably in a retail investments and advice environment.
- Experience of implementing regulatory change.
- Degree and/or Professional Compliance/Regulatory Qualification e.g. Diploma in Compliance and/or Diploma in Financial Planning or be working towards this.
- Proven understanding of the regulatory environment, particularly FCA Systems & Controls and Conduct of Business regulation, especially Suitability.
- Strong appreciation of Compliance and Conduct Risk and how these are embedded within a business.
This is a fantastic opportunity to join a growing and dynamic financial services organisation in a role with a huge amount of development and growth potential for the successful applicant with many further opportunities within the group.
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