Compliance Manager


Reference ID





to £65,000 + benefits

Contact Person

Angela Liscombe

Job description



Compliance Manager

Leicestershire (Our Ref AL1041) - working remotely is an option

Salary £45,000 to £65,000 (depending on experience) plus excellent benefits package

My client offers holistic professional services to a valued and loyal client bank, built up over many years.  Working within the Financial Planning Division of this Group of Companies, you will be a key member of the team, reporting to the board.  As a Qualified Compliance Professional, you will be responsible for assessing the Financial Planning business current and future ventures to identify potential areas of compliance vulnerability and to develop action plans offering recommendations for solutions and general guidance on how to remove or mitigate compliance risks.


Main Responsibilities


·               Develop and oversee control systems to prevent or deal with breaches of legal guidelines and internal policies

·               Create, and disseminate policies, processes and procedures related to compliance activities

·               Conduct regular compliance meetings with authorised individuals

·               Day to day delivery of Compliance strategy, including:

·        Training & Competency Supervisory regime for all Planners

·        Monitoring KPIs and training 

·        Supporting the Investment Committee 

·        Professional Indemnity Insurance Renewals

·        Monitoring and managing alleged breaches of rules, regulations, policies and standards

·        Complaints Management 

·        Regulatory reporting and returns and Maintaining Records

·        Employee Training

·        Client file reviews

·        Advising Marketing Team 

·        Supporting and managing projects and developments 

Skills and Attributes 


·        Innovative professional of a high ethical standard

·        Business acumen partnered with a dedication to legality

·        A team player and positive influencer 

·        Excellent organisational and problem solving skills

·        A great communicator, able to communicate complex technical ideas in a straightforward way 

·        Drive for achievement and an ownership mindset

·        Ready to provide support and assistance



·        In-depth knowledge of the industrys standards and regulations 

·        Financial Planning Diploma Level 4 min, Advanced Diploma Level 6 Qualified in Financial Planning and formal Compliance Qualifications preferable 

·        Experience of financial services compliance environment

·        Previously held SMF16 - Compliance Oversight (previously CF10) and SMF17 - Money Laundering Reporting Officer (MLRO) (previously CF11)

If this role is of interest, please apply with an up to date CV.  We aim to respond to all applications within 10 days.  By submitting your CV you consent to it being retained for use in connection with this and future relevant and/or similar vacancies, you can of course, opt out of this at any time by emailing us.  Full Privacy Notice can be found on our website.



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