Compliance Manager

Location
Bristol
Salary
£40000.00 - £50000.00 per annum
Posted
26 Sep 2016
Closes
24 Oct 2016
Ref
JO0000002097
Contact
James Lee
Contract Type
Permanent
Hours
Full Time
Travel
None

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.