Overview

   A very well-known IFA firm in the Bristol area are looking to recruit an experienced diploma qualified Compliance manager to look after a compliance team and manage the whole process. You will manage the process of servicing clients ensuring that the team are meeting all the FSA’s rules and regulations and are following the process correctly. The team will mainly be involved in file checking and complaint handling.

Main Duties

You will be responsible for managing a team of compliance and file checking staff ensuring that they are meeting the FSA’s rules and regulations as well as the company process. You will ensure that any changes implemented by the FSA are passed on to the team to ensure that no mistakes are made.

You will ensure that the IFA’s are providing the relevant and appropriate advice and that they are also aware of any changes made by the FSA.

Key Skills

You should possess a good track record of working within compliance and ideally some exposure to training and Competence. You must be diploma qualified and have an excellent understanding of the FSA, RDR and other changes in the financial services industry.

Summary

This is an excellent opportunity for an experienced compliance individual who wishes to move into a management role or another experience compliance manager looking to move to a well-established IFA firm in Bristol. You should have the ability to deal with both the IFA’s and the admin team, an attention to detail and ensure that the whole process runs smoothly.

For more information contact Bryn McMillan on 0207 156 5008 or Register Now