Compliance Manager (Financial Planning) - Bristol

  • £40 - £50K DOE
  • Bristol, England, United Kingdom
  • Permanent, Full time
  • Grovelands Resourcing Limited
  • 16 Sep 16

Our client is a leading provider of wealth and investment management services to private clients, professional advisers, charities, corporates and institutions. Combined, they manage almost £9 billion of client assets from 13 offices across the UK, employing c.500 professionals. The client is a global AA-rated financial services group that was established in 1918. They provide a range of financial products and services to over 10 million clients globally. They provide a high quality, personalised service to their clients, whatever their stage of life or financial ambitions.

Based in their offices in Bristol; we are currently looking for a Compliance Manager.

The role

Your role will be to support the Head of Advisory Compliance (Wealth Management & Financial Planning) in providing regulatory and technical advice and expertise to the business on compliance issues, identifying and managing existing and emerging regulatory and compliance risks.

You will be expected to maintain a thorough knowledge of all legislative, technical (product) and regulatory changes relating to Financial Planning and take steps to ensure that systems and controls are put in place to ensure our compliance with those requirements.

Success in this role will be measured through your ability to provide timely compliance advice and guidance to the business; with new regulatory compliance requirements implemented when due and business initiatives implemented in a compliant manner.

You will also assist in minimising regulatory risk to the business through ensuring robust systems and controls are maintained and followed; minimising the likelihood of material FCA/PRA rule breaches occur

Skills and experience

Successful candidates are likely to demonstrate the following:

  • Extensive experience in Compliance within financial services (in-house or consultancy) preferably in a retail investments and advice environment.
  • Experience of implementing regulatory change.
  • Degree and/or Professional Compliance/Regulatory Qualification e.g. Diploma in Compliance and/or Diploma in Financial Planning or be working towards this.
  • Proven understanding of the regulatory environment, particularly FCA Systems & Controls and Conduct of Business regulation, especially Suitability.
  • Strong appreciation of Compliance and Conduct Risk and how these are embedded within a business.
  • Ethical, principled, analytical and diligent.
  • Well organised, self-motivated and proactive.
  • Good communication and IT skills.

Salary c. £40-50K (dependent upon experience)