Financial Planning Compliance Manager

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  • Salary:

    Competitive Salary

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  • Published:

    over 1 year ago

My client is a long standing, reputable and leading provider within the Wealth Management & Financial Planning sector, and currently looking to hire a Compliance Manager to join the business in their Liverpool based Head Office.  The purpose of the role is to provide review and challenge in relation to technical file reviews and complaints, and to represent the Compliance function to executive committees, Quality Assurance and Advice Quality.

Key responsibilities include:

  • Take responsibility to perform technical file reviews of high risk pre-sale cases
  • Liaise with Financial Planners/Senior Management/T&C/Quality Assurance to explain the findings of these reviews and rationalisation of the recommendations made
  • Provide oversight of the 1LOD Quality Assurance team and to perform ‘check the checker’ assessment
  • Mentor and provide feedback of Quality Assurance members to progress to checking status
  • Review and technical oversight of Compliance team output in all areas including monitoring, complaints and file reviews
  • Provide regulation and technical challenge and view point to proposals made by the business
  • Compliance liaison at Advice Quality meetings to provide regulation and technical viewpoint
  • Compliance representative at Executive and senior manager Committees
  • To interpret the impact of regulatory change and articulate this to the business whilst being a critical friend through implementation
  • To work with and assist the Deputy Head of Compliance to develop the compliance function, its strategic plan and fulfilment of the Compliance function’s role
  • Compliance sign off and approval to related Client Documents (e.g. terms of business, schedule of charges etc.)
  • Day to day management and development of the RFP Compliance team including, but not limited to work allocation, fortnightly 1:1 meetings and appraisals

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.