Compliance Manager

  • Location


  • Discipline:


  • Job type:


  • Salary:

    c£30,000 pa + Benefits

  • Consultant:


  • Email:


  • Job ref:


  • Published:

    about 2 months ago

Job Description:  Reporting to the Senior Compliance Manager this is a real opportunity for someone looking to develop their career in this space with a view to moving to a more senior position in the future.

Key responsibilities include:


  • Completion of pre- and post-sale file checks for investment, pension, protection and mortgage business. Knowledge / experience of DB transfers, Tax planning vehicles (VCT, EIS etc), lifetime mortgages and long-term care desirable but not essential.
  • Support the senior compliance manager with delivery of the Training and Competency Scheme through completion of a share of observed client meetings. Prior supervision or sales process experience, including completion of adviser One to One meetings, is desirable but not essential.
  • Support advisers by answering general compliance and product technical queries.
  • Support the senior compliance manager with completion of quarterly FCA returns via Gabriel / RegData.
  • Support the senior compliance manager with FCA applications / notifications via connect.
  • Review existing business policies and procedures to ensure they remain up to date, compliant and effective.
  • Draft new policies and procedures, where required, with the assistance of our compliance support service provider.
  • Review regulatory updates (horizon scanning) to inform the business of any regulatory changes that may impact on the firm.

The Person:

  • Candidates should be qualified to diploma level in financial services (or working towards) as a minimum
  • Previous experience in a compliance role
  • Either experience with the preparation of new business cases, or undertaking new business file checks


Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.