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Compliance Manager

Compliance Manager Berkshire Negotiable My client is a professional firm of independent financial advisers providing a range of fee based advisory services and fee based products.  The company has become one of the most respected firms in the IFA sector. The purpose of the role is to maintain and oversee the day to day smooth running of the company’s regulatory compliance function for both Corporate and Private Clients. You will report to the Compliance officer and be responsible for administering the company’s compliance plan and undertaking file checks. You will act as supervisor for the company’s RI’s and deal with T & C including CPD’s.   You will need to be at least FPC qualified (or equivalent) preferably Diploma qualified or have progression towards it, and have an understanding of the advice process and regulatory structure with experience of working in a team and have had sole responsibility for a compliance function in a management capacity.   Ref: 4271
25 January 2012
24 February 2012
4271
Mr Simon Bean
Regulation
Full time, Permanent