Compliance Manager - Well established Chartered IFA practice in Liverpool - Competitive package on offer and career progression
MB Fitzgerald Rceruitment are currently working with a leading North-West based firm of Chartered Financial Planners to recruit an experienced Compliance Manager for their team - the role to be based from either Liverpool or Chester office.
The company specialise in providing financial advice in areas such as Pensions, Investments, Protection and IHT to HNW individuals. They work closely with their clients, ensuring a 1st class service and pride themselves on providing the right advice every time. They are looking for a candidate who shares these values and has the knowledge and experience to complement their existing team.
The successful candidate will be an experienced Complaince Manager from a Financial Advisory environment a good knowledge of all financial services products. We are looking for a candidate who is ideally Level 4 Diploma qualified as a minimum and those who have completed further qualifications such as AF3, AF7 or Mortgage Qualifications will be considered at an advantage.
- 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 aspects of compliance
On offer is a competitive package, negotiable depending on experience and qualifications. You'll have the opportunity to progress within a company who pride themselves on developing their staff and offer full support towards further professional qualifications.