The Company: A regional sized yet expanding wealth management firm looking to bring in a Compliance Manager to take on a broad internal compliance role inclusive of file review, T&C and some operational involvement too.

• Office Location: Barlborough, North Chesterfield York
• Hybrid/Home Working: Yes – Split between home/office

Package: £50-60k base DOE + discretionary bonus and full company benefits

• Benefits: 5% company pension, 4 x salary death in service & Critical illness cover
• Holidays: 25 days holiday + stats

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

• Ensure appropriate advice and sales procedures are in place for all business areas and these are followed
• Ensures all employees who undertake distribution activities meet the FCA expectations in terms of knowledge, ability and repute
• Regularly review the relevant individual’s client files as required by the firms’ relevant procedures
• Checks as above but monitor checks for adherence to T&C scheme
• Completion risk assessments of all advisers
• T&C Scheme – Manage and implement and ensure adequate records are being maintained
• Make sure all retail investment advisers hold PFS
• Coach and develop junior advisers to attain competency including observations.
• Conduct regular 1:1s with all Advisers ensuring behaviours and KPI’s are on track.
• Complete all necessary changes/updates/applications to the FCA Directory/Register
• Regular audit of processes to ensure being adhered to
• Support the Sales Team in adhering to all best practices and processes.

The Person: 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 to take on a broad, all-encompassing remit is essential:

• Required: Experience within internal compliance in a private wealth advice setting
• Required: File checking experience and 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