Training & Compliance Manager (IFA) – Middlewich – Financial Planning


Training & Compliance Manager – Financial Planning           J – 546


£24,000 – £25,000 basic, plus bonus (circa £6,000 pa).

Due to growth, this busy financial services firm are looking to recruit a Compliance Manager/Officer to join their team.

Reporting to the Compliance Director (CF10) you will be required to manage compliance and training for the company.

You will assist in keeping employees informed of developments in compliance, regulation, rules and standards and will also provide support and training for a team of 5 telephone based advisers, who predominently follow up on qualified pension leads giving ‘at Retirement’ advice .

This is a new role, and your input with regards to improving processes and procedures will be required. The company have seen steady growth in this financial planning division, from a team of 3 to 14 members of staff in 3 years. They are planning for the same rate of growth over the coming years, and expect you to be an integral part of the business’ success.

Experienced as a trainer and developer, responsibilities will also include the monitoring of advisers and 9 administration staff, proving feedback and agreeing action plans.

Key Responsibilities:

  • Pro-actively assisting management in identifying and containing risk: monitoring, reporting and certification
  • Fostering a compliance culture and optimising relationships with Regulators
  • Assessing clients and product providers to ensure effective capture and assessment of due diligence information
  • Supporting FCA requests
  • Providing compliance training as required
  • Supporting the resolution and reporting of breaches
  • Provide input into a robust Annual Compliance Plan, Compliance Risk Assessments and Monitoring Plans and Programmes.
  • Participating in Compliance projects and initiatives as required
  • Supporting the wider Business as required in accordance with business and departmental needs

You will have compliance experience within a financial services organisation; ideally with pension exposure. As you will be assisting in the delivery of the annual Compliance Monitoring programmes, including carrying out reviews and preparing reports, you must be an expert communicator with strong time management skills.

Full or Part time hours considered. Flexible hours 9-5/9.30-5.30

To apply for this position please contact us for a discussion, call the office on 0161 973 0133 or email your CV to Diana Sproston here.

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