This job is no longer available.
You can view related vacancies or set-up an email alert notification when similar jobs are added to the website using the buttons below.

Compliance Manager


£50000.00 - £60000.00 per annum

Compliance Manager


Alexander Lloyd are currently Recruiting for a Compliance Manager who has experience within a Wealth Management / IFA Business.

This is a managerial role which requires previous managerial experience as well as excellent generalist compliance experience and a Level 4 Dip PFS/FA qualification. For the right person, this role can progress to CF10/11 in the future.

ØAssist the Compliance Director in administering an effective scheme of supervision across the Network
ØManage a small team of Compliance and Training Supervisors, reviewing performance and providing appropriate motivation and support to ensure the effective application of monitoring procedures
ØMaintain a T&C scheme for the Supervisory team, undertaking regular reviews of Supervisor outputs, identifying adverse trends/risks and handling them accordingly
ØKeep up-to-date with regulatory and industry developments
ØProvide cover and support for Supervisors and the Compliance Director as appropriate
ØWhere necessary; engage in the supervision of member firms, managing and scheduling all aspects of oversight competently and within desired timescales
ØLiaise with Member firms in respect of escalated issues, or matters which could not be resolved at Supervisor level
ØLiaise effectively with senior management in respect of regulatory and Network issues
ØAssist in making all appropriate notifications to the FCA
ØProduce a quarterly compliance bulletin; considering key industry and regulatory changes

Monitoring Responsibilities
ØApply a risk-based and common-sense approach to the compliance monitoring process
ØUndertake appropriate file reviews, ensuring that the findings are accurately recorded and handled appropriately so as to mitigate associated risks
ØUndertake regular KPI reviews, ensuring that KPI data and management information in respect of AR firms is accurately recorded whilst identifying adverse trends/risks and reporting or handling them accordingly
ØTest approved persons according to scheme requirements in respect of product knowledge and appropriate selling practices, and provide relevant feedback and training where necessary
ØTest and supervise new joiners to AR firms, ensuring that supervision and formal sign-off procedures are applied as appropriate
ØEnsure that financial promotions for member firms are approved in accordance with the FCA rules, whilst aiding firms in interpreting and applying the regulatory guidelines on advertising
ØResearching and producing MI reports to be escalated to senior management

Please quote (42804) when calling Alexander Lloyd. This is only one of many vacancies we are handling. Alexander Lloyd is a specialist within Financial Services recruitment. Areas of expertise include Compliance Directors, CF10/11, Risk Frameworks, Monitoring, Advisory, Policy, T&C, Quality Assurance/ File Review, AML/KYC etc across the entire financial services sector including investments, banking and insurance. We predominately focus on London, Surrey, Sussex and Kent, although we have also been highly successfully in offering national solutions. Due to the high amount of interest that we receive for each of our roles unfortunately we cannot respond to each application individually, therefore if you do not hear back from one of our consultants you have not been shortlisted for this role. Please continue to check our website for any other roles which may be of interest.

This job has now been filled but you may be interested in:


T&C Supervisor

£40000.00 - £45000.00 per annum travel expenses and benefits
A highly reputable award winning IFA network is seeking an experienced Training and Competency Supervisor to join their field based team. Covering mainly the South of England, you will spend at least 1 day a week in their West Sussex office, the rest of the time from home/out on visits. You will maintain a span of control of up to 40 advisors... More