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