Compliance Manager

at  IDEX Consulting

Cheltenham, England, United Kingdom - 00000

Start DateExpiry DateSalaryPosted OnExperienceSkillsTelecommuteSponsor Visa
Immediate15 Jan, 2022GBP 55000 Annual15 Oct, 20213 year(s) or aboveGood communication skillsNoNo
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We are working on an excellent opportunity for a Compliance Manager to join a growing financial planning firm in one of their offices either Chelmsford, Bath or Cheltenham. Your role is to lead the Compliance team in a way that supports compliant delivery of service excellence and operational effectiveness at all times. Ensuring that internal policies and procedures are up to date and adhere to FCA and other regulatory requirements. Monitoring and reporting on corporate standards with regard to compliance with all regulatory requirements. Providing expert advice on compliance issues, together with sound commercial judgement.

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  • Lead and manage the compliance team, with a focus on excellent service delivery at all times
  • In conjunction with the Head of Risk identify all areas of the business where compliance oversight is required to ensure the company meets regulatory requirements and industry best practices
  • Responsible for the implementation of an appropriate monitoring regime to ensure compliance standards are maintained and remedial action is taken where adherence is unsatisfactory
  • Responsible for maintaining accurate, detailed and up to date compliance records across all areas of the business and produce regular risk-based reports of all controlled business functions to Head of Risk
  • Implement and manage the delivery of required compliance training and testing programmes for all staff across the business, e.g. Anti-Money Laundering, TCF, etc. including producing the appropriate training materials for these purposes
  • Responsible for providing information and notifications to the FCA alongside completing regulatory returns
  • Ensure financial promotions are approved to ensure they comply with business and regulatory standards and guidelines
  • Responsible for dealing with our Anti-Money Laundering system and checking alerts that have been reported, escalating as needed to Head of Risk
  • Maintaining awareness of the regulatory landscape and initiatives and consider whether there is likely to be any impact on the business, and develop plans with the Head of Risk to mitigate the impact on the group
    This role only requires you to be in the office twice a week max, there is a competitive basic on offer dependant upon your skills and experience!
    For more information on the benefits and full specification please click apply!
    Visit the IDEX Consulting Ltd website for further opportunities. We value diversity and always provide guidance based on merit. Please note that the information supplied may be retained for up to 3 years for use in connection with future vacancies. For full information on how we use your data, please visit the IDEX Consulting website and view our Privacy Policy


Min:3.0Max:8.0 year(s)

Financial Services

Accounts / Finance / Tax / CS / Audit





Cheltenham, United Kingdom