The Company: An expanding wealth management firm with recent investment aimed at growing their adviser base now has a need to bring in a Compliance Manager to take on a broad internal compliance role – This is inclusive of file review, T&C and some business operations involvement too and will shadow a retiring head for the next 6-months.

• Office Location: Barnsley
• Working Setup: Hybrid – Split between office & WFH

Package: £50-60k base DOE + discretionary bonus & benefits

• Key Benefits: Pension, DIS plus wider company benefits
• Holidays: 25 days holiday + stats
• Hours: Full-time 35hrs p/w

The Role: An internal compliance role/remit spanning internal audit, T&C, governance and compliance oversight for the group. Duties include:

• To report directly to the Senior Management Team to ensure that they are fully aware of the firms responsibilities for compliance
• To keep abreast of Regulatory issues and ensure that these are effectively communicated to Staff, Directors and Advisers
• To ensure that the firm maintains and monitors its commitment to TCF
• To work directly with the directors to highlight any potential Risk to the firm and to communicate this to the advisers
• To produce the Annual Compliance Plan
• To play a significant role in the Senior Management team and to report directly to SMF16
• To act in a supervisory capacity and to act as support and liaison point for advisers
• To ensure that correct procedures are in place regarding Data Protection, Money Laundering and the Consumer Credit Act
• To ensure all company literature is up to date and meets regulatory requirements
• To deal with Complaints
• To conduct regular audits of Compliance and T&C procedures and implement changes
• To conduct audits and inspection visits of branches and/or advisers as required following identification of potential shortcomings against company and regulatory standards
• Design and Maintenance of Induction Training
• To assist in the completion of the RMAR and submit to the FCA
• To manage the paraplanning team and ensure their compliance with company standards
• Adhere to company Compliance/TCF/Data Security/Complaints procedures.
• To ensure file reviews are completed to company standard (internal and outsource).
• Check that Adviser is completing remedial within the company’s set timeframe

The Person: You must be QCF level 4 Diploma qualified and be coming from an IFA/wealth management background. This is an all-encompassing compliance type role covering Adviser Compliance and T&C, so the motivation (and experience) to take on a broad yet exciting remit is essential:

• Required: Internal compliance and file review experience in a private wealth advice setting
• Required: Prior adviser T&C/T&D responsibilities
• Preferred: Adviser onboarding and induction experience

What next? Further questions? Keen to apply & register your interest? Please get in touch asap:

Chris – 07891479277 | chris@cb3associates.co.uk