Our client is a rapidly expanding Wealth Management firm who are looking for an experienced Compliance Manager to join the team.

As Compliance Manager you will support the Head of Compliance Advisory and ensure consistent adherence to regulatory obligations across our national adviser network.

The role will involve taking responsibility for the following:

• Manage a geographically dispersed team of compliance professionals, fostering consistent standards and collaborative working practices across the UK
• Collate and analyse compliance MI for reporting to the Head of Compliance Advisory and escalation to relevant committees and governance forums and when required represent the Head of Compliance Advisory
• Lead the operational implementation and continuous oversight of Consumer Duty, ensuring adherence to the FCA’s expectation and demonstrable delivery of good outcomes for clients
• Ensure AML frameworks are up to date, effective and followed across the firm; support AML training, suspicious activity reviews and policy adherence
• Supporting the auditable system ensure clear fair and not misleading communications are reviewed and approved on a timely basis
• Ownership and execution of the CMP to ensure regulatory coverage and risk mitigation across all business areas.

Key Requirements:

• Minimum 3 to 5+ years in a senior compliance role within a regulated financial planning or wealth management firm. Proven experience leading a small to medium compliance team across multiple locations
• Strong generalist knowledge of the FCA Handbook, particularly COBS, SYSC and PRIN (including Consumer Duty). Familiarity with Connect, RegData, AML controls and conduct risk
• Level 4 CII Diploma in Regulated Financial Planning or equivalent relevant qualification
• Excellent written and verbal communication
• Attention to detail
• Analytical mindset
• Confident presentation to senior management

Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately, your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.

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