MB Fitzgerald are working with a fully independent Chartered Financial Planning practice to recruit a Compliance Manager. The organisation is well established and have grown considerably & steadily over the last few years, due to the existing post holder retiring they are now looking to recruit an experienced compliance professional who can take on overall responsibility for the firm's compliance function.
I have listed below a few responsibilities -
- Ensuring compliance of 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
The successful candidate will be an experienced Compliance Manager/Officer from a Financial Advisory environment a good knowledge of all financial services products. We are looking for a candidate who is Level 4 Diploma qualified as a minimum.
The role will be part home and part office based. You will ideally be able to travel to their offices in Dorset a couple of days a week.
The company is growing through aquations and natural growth, they have plans to acquire another business in the near future so there is excellent opportunity to grow/progress within this position. As the company grows you will have the opportunity to build a compliance team around you, you will also be able to progress into a Group Compliance Manager position.