Exclusive: compliance manager 3d pw - ifa/pwm compliance experience required
EXCLUSIVE: COMPLIANCE MANAGER 3D PW – IFA/PWM COMPLIANCE EXPERIENCE REQUIRED
£60K - £70K Pro Rata Hybrid (Manchester)
Ref:4077D
We are exclusively recruiting for a niche PWM firm now looking to take on their first Compliance staff member. Reporting to the MD (who also holds SMF 16 &17) duties include;- File checks
- Consumer duty documents (supplied by external Consultants)
- Client visits to monitor advisors
- Customer surveys
- Policies and procedures
- Managing employees T&C files
You must have previous of some of the above and although a level 4 qualification useful, more important are good communication skills both internally and externally. Also although only 3d PW for the moment, as the firm expands over the following year, more days may be offered if desired and/or taking on the SMF 16 & 17 (both resulting in pay increases of course)
May suit someone with existing part time role, someone returning to work, a contractor now looking for a permanent role or a recent retiree still looking to work but not full time. Role is 2d WFH and 1 day in the office (5 min walk from Victoria or 15 min from Piccadilly).So, if that sounds like you, then please send your details to our MD, David Symes FCA, at (including contact no) however please note we cannot reply to all applications so only successful applications will be contacted (although under no circumstances are your details ever passed on without your specific permission).
Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role.
The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge.