12 Month Ifa Compliance Manager Contract – Level 4 Qualified With Compliance Monitoring Experience Required

12 MONTH IFA COMPLIANCE MANAGER CONTRACT – LEVEL 4 QUALIFIED WITH COMPLIANCE MONITORING EXPERIENCE REQUIRED £50,000 - £55,000 + GOOD BENEFITS NORTH MANCHESTER/PRESTON REF:4196D

We are recruiting for a well respected IFA seeking to recruit a Compliance Manager for a period of 12 months with a possibility of longer.

Duties will include; Support the development, implementation and maintenance of the firm’s compliance framework, policies and procedures Monitor regulatory developments and assess their impact on the business Conduct compliance monitoring reviews, file reviews and thematic assessments Provide regulatory advice and guidance Assist with regulatory reporting Review and respond to complaints in line with our complaints procedure Oversee compliance risk assessments and provide mitigation advice Support the delivery of training on compliance and professional standards Investigate compliance breaches and manage client complaints Prepare compliance and MI reports for the Board Promote a positive compliance culture

You must have a Level 4 Diploma in Financial Planning (or equivalent) with proven experience in a Compliance Manager or senior compliance role within the Financial Services sector including a strong grasp of FCA rules & financial advice standards and experience conducting compliance monitoring & risk assessments (not just file reviews as already have a team member performing such).

The role is 4d pw office and one day at home but as may need to visit other offices in the Manchester area, you should be a car driver.