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Compliance Manager

  • Salary: £45000 - £55000 per annum + benefits package
  • Location: West Midlands
  • Sector: Compliance
  • Job type: Permanent
  • Date posted:
    02 May 2019
  • Job reference: 32659

Well established IFA firm specialising in providing holistic advice to high net worth clients, looking for a Senior Compliance Manager to join their well-established team, opportunity to drive change reporting directly to the CEO, study support provided, competitive salary and benefits.


  • Maintain and develop company T&C programme and requirements
  • Supervise adviser team with support of compliance officer and director team and CF10
  • Support and monitor Adviser CPD schedules
  • Implement FCA requirements - SMCR, MIFID
  • Monitoring adviser client reviews and ensure meet standards expected
  • Develop compliance systems and controls
  • FCA reporting with support of the finance team
  • Adviser KPI reporting requirements
  • Implement and manage full programme of company and adviser CPD events and seminars in house
  • Update company/advisers with best practice and new development/systems (support of 360/Suzi Lane and Matt Bell)
  • Weekly update overview/report to CF10 and progress made on work discussed
  • With support of compliance office officer minutes for weekly update meeting required
  • Adviser induction process
  • Adviser observations with support of Director team, compliance office and senior Advisers
  • Client compliant handling
  • Present and manage Adviser compliance seminars
  • Adviser 1:1's
  • Prosperity Connect update and maintenance
  • High risk transactions case sign off within agreed timescales
  • File checks with support of CPT, 360 and Suzi Lane
  • Regular update/newsletter for advisers - best and worst practice with support of marketing team/360 updates etc.

Please visit the IDEX Consulting Ltd website for further opportunities. If your application is successful, we aim to contact you to discuss the opportunity in more detail within 2 working days. Due to the overwhelming application response we receive through various sources, should you not hear from us within one week then please assume your application has been unsuccessful. If your application is unsuccessful, the information supplied may still be retained for up to 3 years for use in connection with future vacancies. For full information on how we use your data, please visit the IDEX Consulting website and view our Privacy Policy.

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