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Who are we?

WE'RE ONE OF THE LEADING INDEPENDENT FINANCIAL PLANNING TEAMS IN THE NORTH.

IFA Compliance Manager

How would you like to work for one of the region’s leading Chartered Financial Planning firms? An organisation that prides itself in developing it’s Team; proudly holding the Investors in People GOLD status?

Due to our ongoing success, we now have an opportunity to add a Compliance Manager to our team.

You will be joining the organisation at a very exciting time where you will be able to develop your skills further and will be based within a friendly and professional environment.

As Compliance Manager, your duties will include:

  • Assisting in the creation of Management Information and reports
  • Assisting in the maintenance and monitoring of all compliance policies and procedures, whilst keeping updated with changes to these areas
  • Monitoring and auditing new and existing business
  • Providing regular feedback to the Directors on various areas
  • Supporting colleagues by continuous training, whilst maintaining working practices and knowledge
  • Helping to maintain the approved persons, T&C and AML policies and relevant registers
  • Checking client files to ensure they conform to industry standards
  • Assisting with staff 1-1’s
  • Undertaking client meeting observations to ensure continuous adherence to the firm’s high standards

Relevant Skills and Experience include:

  • Excellent written and verbal skills
  • Strong interpersonal skills with the ability to interact with the Directors, colleagues and clients
  • The ability to work on your own initiative (is a must) as well as working effectively as part of a team
  • The ability to proactively look for solutions when problems are identified
  • The ability to critically evaluate and analyse information and facts
  • Have knowledge of regulatory requirements and the ability to translate this into desirable working practices
  • Use industry experience to solve problems both for the firm and for colleagues
  • Use extensive knowledge to help support advisers / paraplanners / back office administrators in complex advice areas and procedures.

Essential candidate requirements are:

  • IFA compliance experience
  • Level 4 qualified (as a minimum)
  • Have a positive, ‘can do attitude’ with a methodical attention to detail
  • Must have the confidence to influence and negotiate with others

If you think this could be you, then call Active today on 01642 765957

CALL US TODAY

01642 765957

If you would like to find out more about how we can help you, please give us a call or drop us an email.

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Active Financial Planners Ltd Registered in England & Wales No. 4039863 Registered Office: Active House, 1 Dukes Court, Thornaby, Stockton-On-Tees, TS17 9LR Active Chartered Financial Planners is a trading name of Active Financial Planners Ltd which is authorised and regulated by the Financial Conduct Authority