Group Compliance Manager – IFA/Wealth

  • Location


  • Discipline:

    Risk Management

  • Job type:


  • Salary:

    £65,000 + Benefits

  • Consultant:


  • Email:


  • Job ref:


  • Published:

    about 1 year ago

Job Description:  The role will involve supporting the Chief Risk Officer and Compliance Director with regard to both regular and ad-hoc compliance and regulatory tasks as and when necessary.

Key responsibilities include:


  • 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 and company directives.
  • To assist the Compliance Director in producing regulatory and other returns as required from time to time.
  • Review client files as directed by the Compliance Director and provide feedback to advisers in line with the firm’s procedures.
  • 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 the firms Complaint Register.
  • Prepare, audit and administer recruitment files for all new advisers, for approval by the Compliance Director to a standard that meets the requirement of the firm and the Financial Conduct Authority.
  • Maintain and manage the recruitment, appointment and certification of advisers under the Senior Management & Certification Regime
  • Maintain all Compliance Registers with the firm(s) as required.
  • Maintain and manager the firm’s data protection assessment register


The Person:


  • Relevant broad based Compliance experience within a Wealth, IFA or Financial Planning environment
  • Minimum Level 4 qualified
  • Strong interpersonal skills – engagement with a variety of stakeholders across the business
  • Good attention to detail
  • Strong oral and written communication