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Welcome to North Oak Recruitment, dedicated to delivering what we promise - a quality recruitment service. Whether you are a financial services company looking to recruit staff, or whether you are an individual looking for your next career move within financial services, you can rest assured that you will be in the safe hands of an expert, trained and experienced in managing all of your recruitment needs and putting your interests first.  Call us now for Financial Services vacancies.
Compliance Manager
Salary Area Job Ref Consultant Sector
to c£60,000 pa Nottinghamshire AL849 Angela Liscombe Compliance


Compliance Manager

Mansfield, Nottinghamshire (Our Ref AL849)

Salary £45,000 - £60,000


My client is a leading independent wealth management company and they have an exciting new opportunity for an experienced, accurate and driven individual to fulfil the demands of the Compliance Manager role within the business. Working as part of a growing team, with opportunities for career development, this role is pivotal to success of the business.

The ideal candidate will be a determined and driven individual who exhibits a precise and compliant approach.

The key purpose of the role is to ensure the business operates within an appropriate framework whilst mitigating risk and delivering clear reporting on a regular basis. This individual must ensure the business and its advisers operate using the correct processes, providing accurate and compliant advice processes.

The Person

Must have management experience along with financial services experience gained within an IFA and Wealth Management environment. With a strong regulatory awareness and knowledge of the relevant FCA requirements, it is mandatory that applicants have a good understanding of GDPR & MifiD II regulations. The ideal candidate should be ILM Level 4 Diploma in Management.

Key Responsibilities and Accountabilities:

·         Recognise that treating customers fairly is at the core of how we conduct our business and ensure this philosophy is passed on to the rest of the team.

·         Maintain a strong regulatory awareness and knowledge of the relevant FCA requirements.

·         Maintain all Compliance Registers ensuring they are comprehensive and fully completed at all times

·         Respond to and manage alleged breaches of rules, regulations, policies and procedures.

·         Maintain, conduct and revise policies and procedures for the general operation of the Compliance Monitoring Programme.

·         Undertake regular file and NBT reviews.

·         Handle complaints in line with the procedure set out by the FCA and FOS.

·         Make staff aware of the complaints procedure to ensure the correct channels are used.

·         Register and de-register advisers with the FCA using the CONNECT system and ensure records are maintained.

·         Assisting with the collation of appropriate management information (MI) relevant to the firm’s business activities so that the firm can understand the risks to which it may be exposed.

·         Act as deputy Money Laundering Reporting Officer and receive Suspicious Activity Reports in the absence of the MLRO.

·         Respond to other matters relating to Financial Crime, which covers several areas including; money laundering, data security, bribery, corruption and fraud.

·         Ensure that staff are aware and understand what financial crimes the business is at risk / exposed to in order to better enable them to spot and report any concerns through the appropriate channels.

·         Ensure any procedural changes or amendments following compliance reviews are carried out and implemented in a timely fashion as agreed with the relevant senior management team member.

·         Work with the Head of Paraplanning on the development, amendment and maintenance of a full suite of template reports.

·         Ensure any financial promotions and communication by the firm with clients or potential clients, are ‘fair, clear and not misleading’.

·         Provide advice, guidance and training to junior compliance staff

If this role is of interest, please apply in confidence with an up to date CV to Angela Liscombe at North Oak Recruitment.    

We aim to respond to all applications but occasionally, due to overwhelming application response, this is not possible.  Should you not hear from us within 10 days please assume your application has been unsuccessful.  By submitting your CV you consent to it being retained for use in connection with this and future relevant and/or similar vacancies, you can of course, opt out of this at any time by emailing us. Our full Privacy Notice can be found on our website. 

 North Oak Recruitment have worked very hard to find me a position.  Angela has been friendly and professional, she listened to what I was looking for and I would recommend her to anyone looking for a new job. 
Sharon M.
 Angela is second to non in her knowledge of the financial services industry across the Midlands.  Having been made redundant I was feeling unsure about my future but Angela was very reassuring and quickly got to work for me.  Within 3 weeks, I had the perfect role and I can't recommend Angela highly enough - Thank You!
Kate M.