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Compliance Manager (3 days a week - Financial Advisors)

We are currently working with an independent financial advisers who are now seeking to appoint a Compliance Manager working 3 days a week, to join their growing team! This will be based at their Offices in Kidderminster.

Our client offers a fun and friendly, yet professional working environment, and also actively encourages all members of the team to progress and further their studies in the financial services sector.


You will be responsible for ensuring security of the offices in the absence of the Directors, Managers and other colleagues. Ensuring the company adheres to all rules and regulations stipulated by their governing bodies as delegated by the firms CF10 – Compliance Oversight Officer and CF11 - Money Laundering Reporting Officer.

Main Purposes of Role:

• Checking client files to ensure compliant and suitable advice given by the advisers.

• Keeping advisers up to date with regulatory changes.

• Performing six monthly reviews of all personnel’s Continuous Professional Development records and their associated Training and Competence needs.

• To create, maintain and put into effect a training and competence plan.

• Maintain up to date training and qualification records for all personnel.

• Report to and deal with all matters relating to the FCA i.e. RMAR, Connect, etc.

• Apply for/ maintain the company Consumer Credit Licence.

• Ensuring compliance with money laundering rules.

• Maintaining, updating and creating company procedures and compliance plans, etc.

• Ensuring the company adheres to the principles of Treating Customers fairly.

• Checking all promotional material and stationery to ensure compliance with FCA rules, then signing to confirm acceptable if that is the case before entering on the Financial Promotions Register.

• Ensuring client records security and that the company is adhering to the principles laid out in the Data Protection Act. Renewing our Data Protection Certificate Annually. Maintaining the company Data Protection, Data Security and Information Technology policies.

• Investigate any complaints made against the company or any of its employees or advisers regarding advice given and respond to the client as appropriate, liaising with the FCA/ FOS/ FSCS/ etc as required.

• Ensure all Due Diligence on company approved propositions is kept up to date and reviewed every six months, managing as required. Also, that due diligence is undertaken on any new propositions suggested, becoming involved in the process as necessary.


To be considered for this role you will have at least 5 years compliance-based experience gained within an IFA or Provider in a similar role, and ideally be level 4 diploma qualified, although our client is happy to speak to those qualified through experience.


Salary on offer is circa £40k pro rata, dependent on experience. with 20 days annual leave + Bank Holidays and a break between Christmas and New Year as stipulated by the company.


Benefits include enrolment on the company group life scheme at the next renewal date and company Pension


If you would like to discuss these opportunities in more detail, please contact Kieran Boyle at CKB Recruitment - General Insurance & Financial Services Recruitment




If you would like to discuss these opportunities in more detail, please contact Kieran Boyle at CKB Recruitment - General Insurance & Financial Services Recruitment


Location: Kidderminster | Salary: £35000 - £40000 per year | Job Type: Permanent | Posted: 10/04/2018