Clark James Recruitment are working with a leading Financial Services business in the East Kent area. Due to expansion within the team our client are looking for a Compliance Manager to join the team. Role To assist the Assistant Compliance Director to deliver compliance services and ensure adherence to FCA Principles & Conduct of Business Rules and, our clients Compliance & Training & Competence schemes. Responsibilities Compliance Maintenance & Reporting and preparation & analysis of statistical reports to support Compliance Department. Prepare material for compliance team meetings including minute taking. File Reviews Monitoring Selecting & providing files for external review. Identify & report to individual advisers on remedial actions to be taken as a result of file reviews. Service Reviews Monitoring Issue monthly reminders for service reviews. Selecting & reviewing service review files for file quality assessment. Reporting back findings from file quality assessments to advisers with remedial actions as necessary. Training & Competency Creation & administration of individual Training & Competence files. Monitoring of CPD system to ensure adherence to CPD requirements. Issue all CPD certificates to advisers & mark examination papers as necessary. Preparation, marking & general administration of internal tests & assessments. Attend & achieve a satisfactory level of training as required in relation to the job role including anti-money laundering, data protection & complaints handling. Other Duties Issue annual fit & proper status questionnaires & maintain adviser records. Finalising & distributing the Monthly Market Commentary & Select Portfolio Commentary documents. Candidate skills and knowledge - Essential Experience maintaining database & spreadsheet records combined with an ability to analyse records & derive management information. Good knowledge of Microsoft Word & Excel to prepare & format client facing documents & to prepare spreadsheets which utilise formulas combined with the ability to sort spreadsheet data. Experience of compliance as applicable to financial services. High level of interpersonal skills that demonstrate a level of maturity necessary for both writing to & speaking with financial advisers, to communicate compliance findings & requirements positively to colleagues. Ability & desire to identify & prioritise tasks to meet the timescales relating to compliance reporting requirements. Candidate skills and knowledge - Desirable Experience in a financial services or wealth management environment. A diploma level (level 4) financial services qualification or higher. Knowledge of compliance gained in a wealth management or financial advice environment. Experience in a regulated Supervisor role in a financial services (FSA/FCA) environment, experience of monitoring case files for adherence to Financial Conduct Authority (FCA) regulations & file quality. Generic technical knowledge of retail financial products e.g. pensions, unit trusts, investment bonds, OEICs & life assurance. Knowledge of personal taxation of retail financial products e.g. pensions, unit trusts, investment bonds, OEICs & life assurance. Experience of communicating compliance principles to financial advisers. Package Basic salary to GBP28,000 Monday Friday with attractive working hours