Compliance Manager

Job details

Location Horsham, United Kingdom
Date Posted 29th August 2019
Category Compliance
Sector Investment
Retirement Planning
Wealth Management
Salary To £60000 + benefits
Industry IFA
Education N/A
Professional Quals Diploma in Financial Planning level 4
Work Hours Full
Reference 5041
Hiring Company Recruitment Connection Ltd
Region South East
Street Address N/A


Compliance Manager

To £60000 + benefits


My client is a fast growing financial services company and they are looking for an experienced and qualified compliance specialist. Reporting to senior compliance Director you will be responsible for the CF10 oversight and deputising for the MLRO.

Key responsibilities also include:-

  • Assist the line manager / Compliance Director in administering an effective scheme of control & monitoring across the business
  • Design and implement business processes
  • Manage risk within the business through identification and establishment of new controls
  • Keep up-to-date with regulatory and industry developments


You will need to be

  • Level 4 Diploma qualified
  • Experienced of working in a regulated business and have platform experience.
  • Highly knowledgeable of FCA rules and their interpretation/application
  • Able to train and motivate others
  • Able to manage and co-ordinate a team
  • Highly developed in analytical, observational and communication skills.

Ref: 5041

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Simon Bean is managing director of the Recruitment Connection and has been recruiting since 1985. He is a Fellow of the Institute of Recruitment Professionals (IRP).