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Senior Compliance Manager

Job description

My client a leading Chartered IFA practice who have grown through acquisition are looking to expand the policy and advice team and recruit 3 new recruits at various levels due to business growth.


To support the Group Head of Risk in the on-going creation and maintenance of appropriate risk mitigation techniques.


  • To have oversight of the key regulatory reporting requirements and ensure accuracy and efficiency of submission
  • To review and report on key MI trends that have a direct impact upon the regulatory standing of the business
  • To act as a specialist referral point for all regulatory queries that may be put forward by all departments within the business
  • To partake unassisted in relevant strategic meetings from a risk perspective, offering advice, information and support as and when required to promote commercial development in a safe environment
  • To maintain positive relationships with all key contributors demonstrating a supportive rather than preventative stance
  • To ensure that all members of the risk and wider A&R departments demonstrate high levels of communication and relationship management skills with the adviser force
  • To manage the RME and TRME functions as and when required
  • To develop and deliver an appropriate training programme for the Trainee compliance execs, ensuring that competencies are achieved at projected milestones
  • To oversee the day-to-day running of the T&C operations department
  • To participate and oversee where necessary in the compliance due diligence for potential acquisition firms, ensuring that deadlines set by the Acquisitions department are adhered to
  • To provide authorisation and challenge where necessary for all pending controlled functions
  • To oversee relevant variation of permission applications as and when they arise
  • To oversee the implementation of regulatory policy and procedural change where this has an impact upon the regulatory position of the Firm
  • To assess relevant regulatory and legislative change and develop adequate project plans with the assistance of the Project Management Office where required
  • To oversee the implementation of external regulatory audits as and when they fall due

The successful candidate will hold level 4 as a minimum and have a strong background within a policy and advice role.

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