Compliance Manager

  • Job Reference: 516
  • Date Posted: 14 September 2020
  • Recruiter: CF30 Consulting Ltd
  • Location: Didsbury, Greater Manchester
  • Salary: £20,000 to £50,000
  • Sector: Compliance
  • Job Type: Permanent
  • Contact: Jon Minns
  • Email: jon@cf30.co.uk
  • Telephone: 07854851535

Job Description

CF30 Consulting is recruiting a part-time Compliance Manager for a very well established and long-standing IFA firm in Didsbury, Manchester.

We are looking for a part-time compliance director for the firm who would be responsible for some functions under the Senior Management and Certification Regime. We would expect the succesful candidates work to take a maximum of two days per week and would pay a salary of £20,000 pa (£50k FTE) - the job may increase in scope over time as the firm grows and the remuneration would be adjusted upwards accordingly. A summary of the jobs that we would expect the individual to be responsible for is:

  • Certifications (new and annual renewals)
  • Training and competence overview
  • Complaints
  • PII renewals
  • File audits (supported by external compliance consultant if required)
  • Gathering annual SPS, CPD, Annual declaration from advisers
  • Gathering references for new hires, inducting new advisers
  • Dealing with ad-hoc regulatory queries from the board and the firm's advisers
  • Liaising with the FCA as required