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Compliance Manager

Date posted: 12 May, 2016
Ref: Ref:cm120516
Industry: Compliance
Salary: £45000 - £55000
Location: Birmingham
Contract Type: Permanent
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Further Information

My client is a prestigious Wealth Management provider based in the West Midlands. Due to an internal promotion and a restructure of the Compliance function they are currently recruiting for a Compliance Manager. 

Reporting to the Head of Compliance and supervising a team of 2 staff your main responsibilities will be;
  • Undertake analysis of FCA papers as appropriate and provide guidance to the business
  • Lead compliance related projects with regard to the settlement and operations department
  • Identifying, assessing, monitoring and managing compliance risks and requirements applicable to the business 
  • Developing and maintaining strong and up-to-date knowledge of regulatory requirements 
  • To liaise with relevant external bodies, such as the FCA, LSE and industry bodies on settlement and operational related matters as appropriate
  • Assisting with investigation of client complaints which relate to settlement and operational areas of the business
You will currently be working in the Wealth Management sector in aCompliance or Operations role. You will have a strong understanding of Client Assets and Client Money roles. My client offer an excellent package and opportunities to progress within the group. 

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