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Senior Compliance Manager

  • Salary: £40000 - £55000 per annum
  • Location: Birmingham, West Midlands
  • Sector: Compliance
  • Job type: Permanent
  • Date posted:
    05 Feb 2019
  • Job reference: 32277

Working for a leading accountancy practice, to assist the Compliance Director/Manager in the implementation and monitoring of regulatory and internal compliance procedures.

  • To be one of two Pension Specialists and undertake the pre-approval of high risk reports
  • To help staff with day to day compliance and technical queries
  • Assist the Compliance Manager with the checking of client files to ensure compliance with internal/regulatory standards
  • Assist the Compliance Director/Manager in providing compliance support to the firm
  • Assist the Compliance Manager in processing of complaints and in production of regulatory returns
  • To help collate and maintain all regulatory logs
  • To maintain awareness of changes in the regulatory legalisation and issues
  • Record and maintain T&C records in conjunction with the T&C Manager
  • To approve financial promotions
  • To keep compliance procedures, forms and manuals up to date
  • To undertake compliance monitoring
  • To file and/or store records and file in accordance with internal standards so they can be accessed and/or retrieved in an efficient manner
  • Ensure prompt and effective communications with internal/external contacts
  • To build and maintain positive working relationships with colleagues and key contacts
  • To plan and organise work activities to ensure targets and service standards are met
  • To develop and maintain a good understanding of a broad range of financial products and associated legal and regulatory requirements
  • To identify and refer opportunities to improve working practices and/or risk management to enable improvements to be made

Person Specification:

  • Significant practical experience within the financial services sector preferably with an Independent Financial Adviser or experience of working in a compliance environment
  • An appreciation of the FCA Rulebook
  • Has a knowledge and understanding of all products/services associated with the financial services market including life, pension, protection, wealth management and group risk products
  • Has an understanding of financial advice processes
  • To be CII Diploma Qualified
  • To have AF3 or AF 7 to undertake Pension Specialist duties
  • Good written/keyboard and verbal communication skills
  • Excellent IT skills with a particular knowledge of Microsoft Office. Experience of Intelligent Office is an advantage
  • Good analytical skills - attention to detail
  • Able to work on own initiative and to deadlines but equally able to work as part of a team
  • Able to build effective internal and external relationships
  • Seek opportunities to develop own skills and demonstrates commitment to own development
  • Adaptable to changing demands and priorities
  • Able to respond to change and think of different approaches to issues
  • Appropriate appearance for a 'professional' office

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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