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Compliance Manager

  • £38000 - £45000 per annum
  • Cheltenham
  • Posted: 14/11/2019
  • Permanent
  • Job Ref: LIVWM

Job Details

Compliance Manager - Cheltenham £38-45K+ Flexible working  

My client, is a progressive Financial Services company located in Cheltenham is expanding and they need to strengthen the Compliance team.  

The Role  

Reporting to the Head of Compliance the Compliance Manager will be expected to improve and apply compliance policies whilst tracking their implementation. The ideal individual will have a pro-active approach to establishing the proper framework for controls and enhance the compliance function for the company. 

Other duties

  • Observe the company processes to establish compliance with FCA regulations
  • Produce and develop solid suggestions for amendments and improvements
  • Oversee the compliance overview program to ensure all is within approved timescales
  • Effectively manage the audit process to pre-emptively avoid infractions and any issues
  • Produce meaningful MI for key stakeholders and board members to stir business improvement

What are we looking for?

  • A candidate  5 years + within the IFA or wealth management space environment.
  • Demonstrate a sound grasp of a variety of FCA regulations including MiFID II, SM&CR.
  • You will be a focused individual with plenty of ambition as there is a clear pathway to promotion within 2 years.

What’s on offer?

In addition to the attractive salary the role also attracts a variety of benefits

  • 25 days holiday
  • Free parking
  • Flexible working including work from home with the option of working a 4 day week