Job Information

 We have an exciting new opportunity for a Wealth Management Operations Director/Manager with Compliance experience for our client in South Yorkshire.

The company has been established for many years but remains fully independent. 

Salary up to c£80,000. 

The financial advisers provide truly independent unbiased financial advice UK wide. They have a team of experienced independent financial advisers ready to help with all aspects of clients’ personal finance, specialising in retirement and pension planning, mortgages, investments and financial protection. 

Being a family-owned and run business they can help clients to make the best decisions to get the most out of retirement and to grow their investments.

You will be working alongside 11 IFA's plus a team of Mortgage and Protection Advisers. 

As a Compliance Manager, you will play a crucial role in maintaining the integrity of our client's operations. You will be tasked with reviewing and implementing firm-wide policies, designing control systems to handle any violations, and leading training sessions on legal and compliance issues. Your ability to communicate clearly at all levels both internally and externally will be key in this role. You will also provide invaluable support to the Head of Legal and Compliance. 

Your role will entail modifying procedures and processes and working closely with the board of directors in making fundamental decisions. 

Experience in the following areas would be very advantageous: 

Head of Financial Planning, Investment and Paraplanning

Retail Investing

Head of Planning

Area Manager

Compliance Manager

Operations

Business Development.

Initiating strategies and processes. 

There is opportunity to become a board member.

Please apply on-line or contact Cameron James for full details.