I am working with a leading Financial Planning Firm in search of a Compliance Manager to join the growing team. You will assist the Head of Compliance with maintaining an effective compliance structure across the organisation.
Key responsibilities:
- Liaising with the wider team concerning compliance issues.
- Policy and procedures creation and maintenance. Compliance Monitoring Plan.
- Support in delivering quarterly compliance reports and the activities of the risk management function.
- Advising and guiding staff, management and advisors as appropriate.
The suitable candidate will have experience working within a compliance team in the financial advice or wealth management sector.
Please apply below for further details.
I am working with a leading Financial Planning Firm in search of a Compliance Manager to join the growing team. You will assist the Head of Compliance with maintaining an effective compliance structure across the organisation.
Key responsibilities:
- Liaising with the wider team concerning compliance issues.
- Policy and procedures creation and maintenance. Compliance Monitoring Plan.
- Support in delivering quarterly compliance reports and the activities of the risk management function.
- Advising and guiding staff, management and advisors as appropriate.
The suitable candidate will have experience working within a compliance team in the financial advice or wealth management sector.
Please apply below for further details.
