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Recruit UK
Worcester
Job Title: Compliance Manager Industry: Financial Planning Location: Worcester Salary: £45,000 - £50,000 (negotiable for right candidate) Job Reference: 9015 Job Description: Recruit UK are working on an exciting opportunity for a Compliance Manager to join a financial Planning firm. Our client is a highly successful Financial Planning firm, s
Job Source: Recruit UKUpstream Solutions Group
Birmingham
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Job Source: Upstream Solutions GroupHeat Recruitment
Droitwich
Compliance Manager - Worcester/Gloucester - up to £55k - Full time/Part-time An exciting opportunity has arisen for an experienced compliance Manager to join a growing wealth management practice in their Droitwich/Gloucester office. The firm have been voted on Vouchedfor as one of the best advisors by client reviews in 2024. Their typical clients a
Job Source: Heat RecruitmentUpstream Solutions Group
Birmingham
Job DescriptionRole: Compliance Manager Location: Hybrid RoleSalary: £40k - £50k We are currently recruiting for an experienced Compliance Manager for a global engineering and asset management business, who specialize within industrial machinery. They deliver solutions for all of the machinery and equipment it supplies, with a large number of mobil
Job Source: Upstream Solutions GroupBroadgate
Birmingham
Job DescriptionCompliance Policy & Advice ManagerBirminghamSalary £55-60kThis role sits within Risk (Conduct/Prudential) with the aim of providing expert advice on regulatory matters. There will be line management responsibility for two members of the Policy and Advisory team.ResponsibilitiesAchieve and maintain highest standards of conduct and dat
Job Source: BroadgateBroadgate
birmingham, england, United Kingdom
Compliance Policy & Advice Manager Birmingham Salary £55-60k This role sits within Risk (Conduct/Prudential) with the aim of providing expert advice on regulatory matters. There will be line management responsibility for two members of the Policy and Advisory team. Responsibilities Achieve and maintain highest standards of conduct and data protec
Job Source: BroadgateUpstream Solutions Group
birmingham, england, United Kingdom
Role: Compliance Manager Location: Hybrid Role Salary: £40k - £50k We are currently recruiting for an experienced Compliance Manager for a global engineering and asset management business, who specialize within industrial machinery. They deliver solutions for all of the machinery and equipment it supplies, with a large number of mobile engineers t
Job Source: Upstream Solutions GroupTomato Energy
Birmingham
Join Tomato Energy and be part of our mission to transform the energy sector for the better. As leaders in local decarbonisation, Tomato Energy is committed to offering sustainable energy solutions that empower communities and reduce carbon footprints. With our innovative tariffs and solar panels, we're not just altering energy – we're making a rea
Job Source: Tomato EnergyDroitwich
Compliance Manager
Droitwich/Gloucester
Up to £50,000 per annum DOE
Do you have compliance experience within an IFA, Financial Planning or Wealth Management firm?
My client, a growing financial planning and wealth management firm is recruiting for an experienced Compliance Manager to join their business during an exciting period of change.
This is a great opportunity to step into a rapidly expanding firm - one where you will play a pivotal role in their regulatory and risk framework, ensure systems and procedures are in place to meet both regulatory and internal requirements for all markets in which they operate, and update all stakeholders on regulatory change and risk-related matters.
Key duties and responsibilities;
Delivering a sustainable risk-based compliance programme and taking responsibility for sustaining standards of regulatory compliance
Identifying compliance process improvements/weaknesses and presenting solutions where appropriate
Managing annual compliance diary to ensure key business and regulatory timescales are met
Monitoring and maintaining regulatory registers to identify relevant risks
Working with external file check support to ensure robust and compliant advice files and identifying ongoing improvements
Drafting compliance policies and procedures and reviewing these annually
Providing guidance to stakeholders on regulatory changes and overseeing staff training and ongoing competence
Managing day-to-day compliance activities and managing complaints through to resolution
Ensuring continual embedding and implementation of Consumer Duty within the firm
Being the main point of contact to the FCA and responding to any requests
Due to the nature of this Compliance Manager role, previous experience in a similar regulatory environment is required alongside strong working knowledge of the FCA Code of Conduct and a certificate in financial planning or equivalent.
Please note, that this role will be covering offices in Droitwich and Gloucester and will be office-based initially with some flexibility for hybrid-working thereafter.
If this role is of interest, then please get in touch to discuss further or apply today!
Compliance Manager jobs in Droitwich
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