Compliance Manager

West Sussex, Gatwick
£35000.0000 - £37000.0000 per annum
09 Aug 2018
03 Sep 2018
Sarah Nicholas
Contract Type
Full Time

Compliance Manager
Salary: £37k + benefit package
Location: Crawley
Hours: Full time

Pier Recruitment are assisting a successful Wealth Management Company in their search for a Compliance Manager based out of their busy offices located near Crawley.

This company have grown from strength to strength and are looking for an experienced, enthusiastic and highly capable individual who will enjoy a busy work load and fast-paced, supportive working environment.

This role will involve policy evelopment, training, monitoring, risk assessment, advising the business on compliance matters and issue remediation within financial services.


  • Compliance checking of all pre-sale and high risk advice documentation
  • Completing checks on post sale documentation
  • Completing new business submission sample checks
  • Collating and preparing reports for the Client Support Director
  • Producing management information ensuring the continuous identification of issues, trends and opportunities
  • Supporting and advising on regulatory requirements and developments
  • Attending client meetings where required
  • Looking at regulatory risk and supporting its management
  • Communicating regulatory change and establishing control frameworks as necessary
  • Produce training needs analysis in order for the team to meet agreed performance levels

The right candidate will have the following skills and attributes:

  • Ideally with DIPfa4 and CII qualified
  • Proven background within a similar role or Paraplanning
  • Excellent knowledge of both simple and complex financial products (DB pension schemes, structured products)
  • Ability to collate client information and prepare suitability reports
  • Excellent communication skills
  • Experience in the review of code of ethics related to all compliance matters
  • Ability to develop your own ideas and projects to assist in the ongoing development of their client proposition

For more information on this role please contact Sarah Nicholas on 01273 947810 or apply today!

Pier Recruitment does not discriminate on the grounds of 'protected characteristics' as defined under the Equality Act and other relevant UK legislation.

Pier Recruitment acts as a Recruitment Agency in relation to all Permanent roles and as a Recruitment Business in relation to all Temporary roles.

If your application is successful a consultant will be in contact with you within the next 2 working days. If you do not hear within 7 days please call the office as we always wish to provide 100% customer service.

Similar jobs

Similar jobs