Compliance Manager - Small HNW IFA Practice - Stockton

Tempest Jones
£30,000 - £39,999
18 Nov 2019
23 Nov 2019
Contract Type
Full Time
Job Title:

IFA Compliance Manager


Salary £35,000 - £45,000 (Possibly more for an exceptional candidate)

depending on experience, qualification and performance at interview.


An opportunity has arisen for an IFA Compliance Manager to join a reputable IFA practice in Stockton. The core purpose of the role will be to uphold effective monitoring of advice, systems and processes to safeguard the interests of clients, the company and its advisers. This is an excellent chance to join an outstanding firm.

This will be a varied role working for a small but very successful and well-established business specialising in financial advice to high net worth clients.

You will oversee all compliance concerns within the business and be the key point of contact for the board of directors, advisers and paraplanners with any technical compliance queries they have providing guidance where needed.

The role will involve ensuring that business processing, internal procedures and advice being given is accurate, compliant and in line with client needs. You will continuously look at how processes can be improved to become more efficient whilst ensuring all business written and activities are in line with FCA requirements and regulation. You will action PI renewals, annual returns, RMAR and continuously ensure GPDR is adhered to.

Key Skills:
  • Applicants must be Level 4 qualified, those with Advanced Diploma will be at a distinct advantage.
  • You will have extensive experience in a similar compliance role within an IFA business.
  • You will have excellent communication skills and the confidence to deliver sometimes quite negative feedback to advisers in a constructive manner.
  • You will be dynamic and enthusiastic with a passion for the role that you do, keen to join a team-focussed and mainly office-based environment.

In return for your collaboration and hard work, a competitive benefits package will be on offer along with an attractive salary which will depend on level of experience, qualification and performance at interview.

Whilst this will be an office-based role, partial remote working may be considered for the right candidate, with no more than 2 out of 5 days working from home. For the duration of the induction and 'settling in period', the successful candidate will need to be in the office based in Stockton.

To apply, please send your CV to jenny @ tempestjones . com .