Compliance Manager

  • Permanent
  • Cirencester, South West
  • Posted 11th January 2019
  • £48000.00 - £55000.00 per Annum + car allowance
  • Ref: JT112018
This highly regarded financial services organisation has a need to bolster its Compliance Team and support ongoing growth by recruiting a new Compliance Manager. They have grown through the ethos of offering quality and building trusted and enduring relationships with their clients and have received numerous rewards for their services. The main purpose of the role is to contribute to the compliance culture within the Group, through the delivery of second line of defence compliance monitoring, as it relates to the business strategy and day-to-day operations.

Key Responsibilities:
*Support the Head of Compliance in developing a Compliance Monitoring Plan setting out an appropriate programme of risk based compliance assurance activities
*Deliver all required aspects of the Compliance Monitoring Plan on time and to a high standard
*Monitor, review and follow-up the implementation of compliance recommendations agreed with management
*Assist in the provision of compliance training to the first line of defence
*Carry out thematic monitoring and investigations as required
*Support Compliance staff with project work, staff training, procedural and administration tasks
*Assist with developing, maintaining and implementing an effective risk management framework across the Group

Required Skills/Qualifications:
*Experience of first or second line compliance monitoring activity, preferably in a wealth management and financial advice environment
*Demonstrable experience in monitoring and reviewing wealth management and wealth planning services to retail clients
*Detailed regulatory knowledge
*Good product knowledge, including pensions and investment products
*Ability to analyse and communicate regulatory change with first line management
*Ability to influence management in the organisation
*Energy and tenacity to promote the role of second line assurance activity across the Group
*Strong interpersonal and communications skills both orally and in writing
*A relevant professional qualification in financial advice and / or compliance industry qualification
*Preferably a minimum of three years' experience in a compliance monitoring environment within financial services, with strong understanding of the three lines of defence model

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