Compliance and Operations Manager required for boutique financial planning organisation. This role is a pivotal link in the company between the business, workflow and also ensuring the firm remains compliant and profitable.
A key part of the role will be managing the FCA CRM database systems as well as liaising with the FCA to ensure the firm is compliant.
Responsibilities also include:
*Chairing the Investment Committee
*Running Advisor 121 meetings
*P11 submissions
*Monitoring file reviews
*Managing Information Flow meetings
HR duties will also include:
*Recruitment
*Employment contracts and staff handbook
*Staff Annual Reviews
*Managing and organising staff incentives
Company Administration and Compliance
*IT Security
*Management of IT hardware and software
*Board meetings and business planning
*Marketing campaigns
The ideal candidate will have five years plus experience in an operations of a senior administrator role and ideally have Prince 2 qualification and be Tech savvy with excellent Excel skills.
You will be a:
*Team player
*Work well in a team
*Be a hard worker with a positive team attitude


*Benefits include:
*Quarterly bonus scheme
*Private Medical Insurance
*Pension
*Annual holiday
*Flexible working