Compliance Manager

Salary: £60,000 - £65,000

Flintshire, North Wales

As the Financial Planning firm continue to grow, they’re looking for an experienced Compliance Manager to ensure operations align with regulatory requirements and uphold the highest standards of compliance.

The Compliance Manager will play a pivotal role in managing and overseeing the firm’s compliance framework. This includes ensuring adherence to FCA (Financial Conduct Authority) regulations, maintaining and updating policies, and providing compliance guidance to our financial advisors. The ideal candidate will have extensive experience in compliance, ideally within the financial planning or wealth management sector.

Key Responsibilities:

• Develop, implement, and monitor the firm’s compliance policies and procedures to ensure alignment with regulatory requirements.
• Oversee and review the firm's compliance with FCA standards, including financial promotions, data protection, and anti-money laundering (AML).
• Conduct regular audits and risk assessments to identify potential compliance issues and ensure corrective actions are taken.
• Provide ongoing training and support to staff, ensuring that they are aware of compliance responsibilities.
• Serve as the main point of contact with regulatory bodies and respond promptly to any regulatory queries.
• Prepare and submit regulatory filings and reports as required.
• Work collaboratively with senior management to embed a culture of compliance throughout the organization.

Key Requirements:

• Proven experience as a Compliance Manager, ideally within the financial planning, wealth management, or financial services sector.
• Strong knowledge of FCA regulations, AML, and other relevant regulatory frameworks.
• Experience with risk management, compliance auditing, and policy development.
• Excellent communication and interpersonal skills with the ability to influence and advise stakeholders at all levels.
• Strong analytical skills and attention to detail.
• Relevant professional qualifications (e.g., Level 4 Diploma in Financial Planning).

If you are a proactive and detail-oriented compliance professional looking to make a significant impact, please click to apply and submit your cv.