Compliance Manager / T & C Supervisor – Merseyside – Salary: £30,000 - £40,000. Financial Services / Wealth Management Organisation

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Compliance Manager / T & C Supervisor – Liverpool , Merseyside – Salary: £30,000 - £40,000. Financial Services / Wealth Management Organisation

Due to great success and growth a reputable Financial Services organisation who have offices throughout the North West and are currently looking to recruit 2 additional Compliance Manager / T & C Supervisor. This role will oversee 5-10 Financial Advisors with all their Compliance technical support and T & C Supervision. You will be working from the Liverpool , Merseyside office.

This is an ideal financial services job opportunity for a technical compliance / Training & Competence specialist 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 our Financial Services specialist recruiter 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




24 November 2020
Compliance Manager
Merseyside, Liverpool