Compliance Manager

  • Location

    Newcastle upon Tyne

  • Discipline:


  • Job type:


  • Salary:

    £40,000 - £45,000 + benefits

  • Consultant:


  • Email:


  • Job ref:


  • Published:

    over 2 years ago

To support the Chief Risk Officer, Business Standards Director and Head of Group Compliance with regard to both regular and ad-hoc compliance and regulatory tasks as and when necessary.

The role will involve:

  • Deal with client’s complaints in line with the firm’s complaint handling procedures. Ability to liaise with complainants and 3rd parties to obtain suitable outcomes.
  • Maintain and manage the firms Complaint Register.
  • Maintain the company’s Financial Promotions and advertorial approvals process in line with the FCA rules for Financial Promotions through to assessment and approval as appropriate by Head of Group Compliance. 
  • Approved person’s regime. Prepare, audit and administer recruitment files for all new advisers, for approval by the Head of Group Compliance to a standard that meets the requirement of the firm and the Financial Conduct Authority.
  • Maintain all Compliance Registers with the firm(s) as required.
  • Maintain the firms Document library and associated Gateway and Adviser Portal’s to ensure the availability of complaint documents to the adviser and paraplanning community.
  • Create and edit compliance related documents as directed to meet the requirements of the firm and Financial Conduct Authority.
  • Contribute to the content and maintenance of the Business Practices Manual.
  • To assist the Head of Group Compliance in producing regulatory and other returns as required from time to time.

Key Requirements:

  •  Level 4 Diploma qualified or equivalent
  • Strong knowledge on Pensions and Investments

Strong Compliance experience with a Wealth Management background