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Senior Compliance Manager

Job description

Are you a Compliance Manager currently working within the financial advice arena seeking to join an established national financial planning firm?

The compliance operational team manages day to day activities such as FCA reporting, complaint handling, PII engagement, recruitment of Advisers and Senior Managers, fit & proper assessments, reviewing financial promotions, recording breaches & incidents, production of compliance MI etc. You will be required to work with internal stakeholders to make sure compliance policy & procedures are being adhered to. The Senior Compliance Manager will have a small team of direct reports and ensure there is appropriate sharing of activities to promote resilience.

This is an excellent opportunity to work in a top tier firm and play a key role in the compliance function.

Remote working is fully in place.

Visit the IDEX Consulting Ltd website for further opportunities. We value diversity and always provide guidance based on merit. Please note that the information supplied may 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.