Compliance Manager

Location: Peterborough, Cambridgeshire

Salary: £35k basic, depending on experience, along with quarterly and annual bonuses - (additional monthly financial incentives) OTE £41-50k

An excellent opportunity

• To join a highly successful financial services business which is a market leader in its field and assist the CEO in maintaining and creating a compliant culture with the provision of cutting-edge admin support and automation and the tools needed to work effectively
• Growing, profitable company with opportunities for career advancement and playing an important role in the Board's expansion plans

Main key responsibilities

• Financial promotions - review, approve and record
• Complaints - respond and record
• PI insurer - advise complaints, rebroke on renewal
• T & C scheme - write, review and maintain
• Training - new starters
• Call Monitoring Team Supervision - monitor calls, resolve disputes, maintain policy
• Oversee sales team personal compliance records
• Technical support - to both sales and admin teams, including numerous scheme benefit checks, lifetime allowance checks etc
• Gabriel return - complete and submit twice yearly
• CPD - supply reading, maintain register to confirm 15 hours per year per individual
• Annual compliance audit for Threesixty - prepare relevant registers etc
• Insurance Distribution Review - write policy/procedure and ensure adhered to
• Money Laundering - assist admin with PEPs and Sanctions register
• Vulnerable clients - listen to calls to assess if client vulnerable and if plan suitable
• Conflicts of interest - maintain register
• FCA breaches - maintain register

Knowledge, skills and other requirements

We are looking for a passionate person having great attention to detail with extensive experience of working in a Compliance Manager capacity, ideally within the Financial Services industry and preferably within an IFA environment.

You will be a dedicated team player with good interpersonal skills and the ability to communicate effectively with both colleagues and clients.

You must be comfortable working under pressure to meet deadlines and have the ability to use your own initiative as well as working without close supervision.

Requirements or Qualifications

This role does not carry any direct responsibility with the FCA or any other regulatory entity for the compliance functions within our business but acts as an adviser in using their experience to guide the CEO who carries the CF10 and CF11 duties and has ultimate responsibility for compliance.

The successful candidate does not need formal qualifications but would ideally be Diploma level 4 qualified or working towards it.

• Taskmaster Resources LTD is acting as an Employment Agency in relation to this vacancy. (Permanent Vacancy)