Compliance Manager - DipPFS

Compliance Manager Job - Financial Planning - Gloucestershire Location - up to c£40,000. - DipPFS required.

Your new company
This is a fantastic opportunity to join this niche financial service provider with a great internal culture offering a progressive role as a compliance manager.

Your new role
Will be to work with the senior leadership team to provide advice on compliance rules and regulatory change, offering compliant pragmatic solutions across the business..

• Ensure the Company is compliant with FCA regulations at all times by continually reviewing company procedures, recommending and implementing any agreed changes to improve efficiency and effectiveness
• Oversee the smooth running of the Compliance department, managing the compliance monitoring programme and compliance diary.
• Implement all necessary procedures in an accurate and timely manner for all FCA regulations
• To interpret, understand and apply FCA rules to achieve business focused and commercial outcomes
• Maintain and amend the Compliance Manuals and procedures as necessary in line with FCA regulations. Follow through to ensure all departments are aware of changes and amendments and follow the new/amended procedures.

What you'll need to succeed
You will need to be a Level 4 qualified, compliance professional with experience build within the financial planning and IFA environment. Be able to demonstrate a strong understanding of FCA regulations including Training & Competence, RDR, RDR, MiFID II, SM&CR and Anti Money Laundering/Financial Crime. Possess an In-depth knowledge of the FCA handbook, in particularly rules relating to COBS, SYSC, TC. Have excellent written and verbal communication skills with the ability and experience to produce and deliver training to staff when required. Relevant qualifications such as; CISI Compliance Diploma in investment Compliance or ICA Certificate or Advanced Certificate in Compliance would be desirable.

What you'll get in return
A salary of up to c£40,000 based on experience + a range of company benefits.

What you need to do now
If you're interested in this role, click 'apply now' to forward an up-to-date copy of your CV, or call us now.
If this job isn't quite right for you but you are looking for a new position, please contact us for a confidential discussion on your career.

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