Job Information

Working in partnership with a Chartered Financial Planners based in Liverpool/Chester, I am currently recruiting for a Compliance Manager to join the team.

** THIS ROLE WILL BE BASED BETWEEN THE LIVERPOOL/CHESTER OFFICES WITH THE OFFICE CLOSER TO YOU BEING YOUR MAIN OFFICE **

As a Compliance Manager you will be responsible for all areas of Compliance across the business.

LEVEL 4 DIPLOMA IN FINANCIAL PLANNING IS ESSENTIAL

R06 OR EXQUIVELANT PREFERRED BUT NOT ESSENTIAL
PENSION TRANSFER QUALIFICATION I.E G60, AF3, AF7 PREFERRED BUT NOT ESSENTIAL

Salary: £30,000 - £45,000 dependent on experience and qualifications

Duties will include but will not be limited to;

• Ensuring compliance of IFA Advisers with all Internal and Regulatory Policies, Practices, Procedures and Standards
• Undertaking regular advice file checks to ensure adherence to the above and firm`s investment, pension and protection advice rules
• Review and maintaining of firm`s T+C Scheme
• Feedback and Coaching of advisers
• First line T+C Supervision of Directors /Advisers
• Development and maintaining of Internal and Regulatory product and procedural knowledge
• Keep a working knowledge of all Regulatory changes impacting on the firm, and making changes to the firm`s policies and procedures as required
• Clear and effective communication of any procedural changes resulting from the above to all relevant staff
• Involvement as required in all other compliance aspects of the firm

The successful Candidate must have worked within a Financial Planners doing a similar role.

For further information please search `Cameron James Professional Recruitment`, visit our website and contact Rebecca Hunt.

For further information please contact me on 0161 638 8627, email rebecca.hunt@cameron-james.co.uk