Compliance Manager – Liverpool, Merseyside or Chester, Cheshire – Salary: £30,000 - £40,000

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Compliance Manager – Liverpool, Merseyside or Chester, Cheshire – Salary: £30,000 - £40,000

Financial Planning firm are currently looking to recruit a Compliance Manager for their organisation.

This an excellent opportunity for a technical compliance individual who wants to join a reputable and growing organisation.

Your role will involve:

  • Review compliance procedures and identify any compliance risk to the firm
  • Provide awareness of compliance requirements in all areas of financial services
  • Regular audits & file checks and provide any specific compliance training to staff i.e IFA’s
  • Regulatory reporting
  • Liaising with Advisors on file monitoring, checking letters and presentations
  • Oversee T&C Supervision

The successful candidate must be Dipfs Level 4 qualified (Diploma in Financial Planning) and must have a technical compliance background within financial planning. If have Pensions qualifications i.e G60, AF3 or AF7 that would be ideal but not essential.

If would like to discuss the outstanding job opportunity, please contact Philip Gordon at Prestige Recruitment Group – Financial Services Division on 0151 601 6000 / 07557043246 or email.

I am also contactable on LinkedIn.

Prestige Recruitment Group are acting as an employment agency, supplying high calibre Financial Services & Insurance staff throughout Liverpool, Manchester and the North West region  

PLEASE NOTE: Unfortunately, due to the volume of applications being received we can only respond to those offering the relevant experience as outlined in the advertisement. If you have not heard from us within 48 hours, then you may presume that your application has been unsuccessful.

Please visit our website or follow us on twitter @PrestigeRGroup


12 March 2020
Compliance Manager
Merseyside, Liverpool