Job Overview

Apply now Compliance Manager (Wealth Management / IFA environment) Nottingham (Our Ref AL820) Salary to c£45,000 pa Our Client is well established and award winning Nottingham based firm of Independent Financial Advisers. They now have an exciting vacancy for an experienced Compliance Manager to join their team. The successful candidate will be motivated and proactive and will have held a similar role within the wealth management sector. Day to day, the role will involve the following responsibilities: Monitor and interpret regulatory and data protection changesMaintain policy statements and incorporate regulatory change where appropriateMaintain positive relations with the FCADeliver regular staff updates and trainingComplete Gabriel returnsMonthly reporting to the boardManage, maintain and give effect to the Compliance Monitoring ProgrammeContinually monitor and improve service and compliance proceduresIdentify training programme for Consultants to maintain areas of authorisationEnsure CPD, SPS, T&C scheme deliveredMaintain and report on KPI'sObserve client meetings The Person: Previous experience working as a Compliance Manager within an IFA environment.Ideally you will be Level 4 / Diploma Qualified, although this is not essential. If this role is of interest and you have the required background, then please apply in confidence with an up to date CV or call Angela Liscombe at North Oak Recruitment for a further discussion.

Key Requirements

Compliance Financial Services Regulatory Requirements Wealth Management