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Job Specification

Compliance Manager – QA and T&C Experience within Financial Planning required

£55K to £60K + Benefits + Bonus | City
Ref: 3581R

UK & Ireland / Compliance (inc Conduct Risk/COBS) / Permanent


Our client, a leading independent Wealth Management company are looking to hire a Compliance Manager. In an interesting & varied role the main duties are as follows:
• Maintain and oversee an effective Financial Planning Training and Competence Scheme for the Financial Advisors.
• Ensure that Financial Advisers daily activities are monitored and that the appropriate KPI’s are recorded.
• Assist with the implementation of SMCR ahead of the 2019 deadline.
• Pre-approval of all suitability reports
• Conduct regular file reviews
• Oversight of Investment Propositions including management of the investment portfolios, fund selections, audit trails etc.
• Observing Client Meetings and handling of Client Complaints.
• FCA thematic/queries and reports
• Assist the Head of Compliance with reporting for various committees and boards and any other ad hoc projects as required.

The ideal candidate should have a minimum of 4 years Compliance experience including T & C knowledge and have experience of QA/File Reviews. You should also hold the CFPC or equivalent.

For further information or a confidential no obligation discussion, please feel free to call David Crook on 020 7330 6963 or send your details to him at


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