Compliance Manager

1 day left

£40000.00 - £50000.00 per annum
26 Sep 2016
24 Oct 2016
James Lee
Job Type
Contract Type
Full Time

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.

Apply for Compliance Manager

Already uploaded your CV? Sign in to apply instantly

All answers are required


Upload from your computer

Or import from cloud storage

Your CV must be a .doc, .pdf, .docx, .rtf, and no bigger than 1MB

4000 characters left

All questions are required

Are you legally authorised to work in the United Kingdom full time without restriction?

By applying for a job listed on you agree to our terms and conditions and privacy policy. You should never be required to provide bank account details to apply for a job on our site. If you are asked for these by a recruiter, please email us.