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Compliance Manager – Sipp and SSAS Provider - (1802)
A regulated firm, our client aspires to maintain their efforts in moving with market changes and taking steps to comply with financial regulations. To keep up with the increase in regulations in the industry they require a level 4 Diploma qualified individual who preferably also holds G60 or AF3 and a compliance specific qualification.
The successful candidate will have a breadth of experience in compliance within a regulated environment, preferably from an IFA practice and they will be a key member of the team, responsible for;
• Maintaining a detailed knowledge and understanding of FCA legislative and regulatory requirements and to act as point of contact within the business.
• Maintain an effective compliance audit function, monitoring, appraising and making recommendations on compliance with FCA regulations.
• Address and report all issues that arise from compliance reviews/audit work
• Analyse existing and new processes and implement solutions.
Applicants for this role will have a strong attention to detail and the ability to communicate effectively at all levels and be confident to question advisers and support staff on any compliance issues that become apparent, using your influential skills to get information across.
In return you will receive a great salary up to £45k and benefits package and be part of an exciting and dynamic firm.
If you would like to show your interest in this position, or other opportunities within Financial Services, email This email address is being protected from spambots. You need JavaScript enabled to view it. quoting SIPPS Professional and code 1802.