Compliance Manager

About the Role

Our client, a large, highly successful and fast paced organisation have the requirement for an exceptional Compliance Manager to join their rapidly growing Financial Services operation.

Basic Salary 40k - 45k OTE + Excellent Benefits Package

You will be fully responsible supporting the work of our financial advisors by carrying out a variety of compliance duties in the Financial Services department. 

You will report directly into the Head of Financial Services and work closely with the teams & supporting the integration by ensuring the company remain compliant.

  • Carrying out file reviews, checking all documentation, reviewing adviser recommendations to clients in relation to all products
  • Monitoring AML checks
  • Preparing and reviewing business compliance KPIs
  • Oversight of Introducer Agreements
  • Collating the reporting and KPI requirements for advisors, creating effective communications to ensure all staff are aware of the requirements and performance to date
  • Monitoring compliance with monthly and annual accounting reporting including monthly checklist and biannual Board Reports
  • Supporting the Group Compliance Officer with the documentation of review visits and any other requirements
  • Supporting the Management Team to develop and deliver training on key areas by the identification of generic issues or new regulations


  • Experience of developing a strong control environment within the financial services sector
  • Have the ability to report with clarity on the issues identified and actions needed to resolve those issues. Be able to make clear assessments on the priority and importance of reporting
  • Have a solid working knowledge of COBS, ICOBS and MCOBS.

Key Skills:

  • Exceptional communication skills, both written and verbal
  • Strong organisation skills
  • Proven ability to work on your own imitative
  • A "can do" attitude
  • Personable approach with the proven ability to build strong working relationships

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