Compliance Manager (Financial Planning)
other jobs NJR Recruitment
Added before 7 Days
- England,Yorkshire and The Humber,Lincolnshire
- Full Time, Permanent
- £40,000 - £45,000 per annum
Job Description:
Compliance Manager (Financial Planning)
Location: Grantham / Hybrid
Salary: £40,000 - £45,000
Working Hours: 37.5 per week
Job Type: Full Time, Permanent
NJR Recruitment is delighted to be supporting a well-established and Chartered firm of Independent Financial Planners who have an excellent opportunity available as a result of their ongping growth and are seeking a Compliance Manager. This is a fantastic opportunity for someone looking to take ownership of compliance oversight, ensure best practices, and support the continued development of a high-performing team.
Key Responsibilities:
" Maintain, update, and monitor compliance standards including written policies and procedures
" Conduct file reviews and high-risk advice checks to ensure regulatory obligations are met
" Monitor and follow up on feedback from file reviews to ensure timely resolution
" Provide technical support and updates to team members
" Stay abreast of regulatory developments and ensure firm-wide adherence to new rules and guidance
" Advise management on regulatory issues and necessary changes
" Arrange and deliver training to team members around compliance and regulation
" Conduct regular competence assessments
" Assist with onboarding and certifying competency for new financial planners
" Carry out general compliance duties as needed, appropriate to experience and role
Requirements:
" Diploma in Regulated Financial Planning by the CII (or equivalent)
" Previous experience in a similar role within the financial services sector
" Strong knowledge of FCA regulations and compliance requirements
" Excellent communication and organisational skills
" Ability to work both independently and as part of a wider team
Benefits:
" Hybrid working model (part remote, part Grantham-based)
" Supportive and collaborative working environment
" Opportunity to play a key role in the development of a growing compliance function
If you’re looking to step into a pivotal role with real influence and flexibility, we’d love to hear from you. Apply today with your CV or contact the team at NJR Recruitment for more information.
NJR16091
Location: Grantham / Hybrid
Salary: £40,000 - £45,000
Working Hours: 37.5 per week
Job Type: Full Time, Permanent
NJR Recruitment is delighted to be supporting a well-established and Chartered firm of Independent Financial Planners who have an excellent opportunity available as a result of their ongping growth and are seeking a Compliance Manager. This is a fantastic opportunity for someone looking to take ownership of compliance oversight, ensure best practices, and support the continued development of a high-performing team.
Key Responsibilities:
" Maintain, update, and monitor compliance standards including written policies and procedures
" Conduct file reviews and high-risk advice checks to ensure regulatory obligations are met
" Monitor and follow up on feedback from file reviews to ensure timely resolution
" Provide technical support and updates to team members
" Stay abreast of regulatory developments and ensure firm-wide adherence to new rules and guidance
" Advise management on regulatory issues and necessary changes
" Arrange and deliver training to team members around compliance and regulation
" Conduct regular competence assessments
" Assist with onboarding and certifying competency for new financial planners
" Carry out general compliance duties as needed, appropriate to experience and role
Requirements:
" Diploma in Regulated Financial Planning by the CII (or equivalent)
" Previous experience in a similar role within the financial services sector
" Strong knowledge of FCA regulations and compliance requirements
" Excellent communication and organisational skills
" Ability to work both independently and as part of a wider team
Benefits:
" Hybrid working model (part remote, part Grantham-based)
" Supportive and collaborative working environment
" Opportunity to play a key role in the development of a growing compliance function
If you’re looking to step into a pivotal role with real influence and flexibility, we’d love to hear from you. Apply today with your CV or contact the team at NJR Recruitment for more information.
NJR16091
Job number 2893829
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Company Details:
NJR Recruitment
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