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Compliance Review Manager - Level 4 essential


Compliance Review Manager - Level 4 essential


Clearly established as a dominant force within Wealth management this powerhouse is looking to ad a Compliance Review Manager to its ranks.

As a Compliance Review manager you will need to be Level 4, CII Diploma in Financial Planning and hold a good working knowledge of financial services advisory sales process gained from significant experience within a financial advisory company. The role will see you assessing the adequacy of remedial actions completed on file reviews as well as providing oversight, manage and maintain the relationship between the firm and its chosen outsourcer of file reviews.

To be considered for this role it is essential that you hold Level 4 or higher Diploma in Financial Planning and have experience of designing and delivering audit reviews. You must have a pragmatic approach to compliance and be able to give straight, honest and clear feedback to senior management.

You will work within a small team in a broad role which can be hands on as well as highly strategic and involved reporting regularly to the Board and operating at a senior level. There is also an excellent benefits package on offer.

Please quote 40584 when calling Alexander Lloyd on 01293 572900 and ask for our Compliance division. 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.

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