Compliance & Operations Manager - £45k-£60k - Exeter

£45,000 - £60,000 yearly
  • Recruit UK
  • Exeter, UK
  • 20/05/2021
Full time Compliance Senior Manager

Job Description

* Please mention Financial Planning Today Jobs when applying for this role

Job Title: Compliance and Operations Manager

Industry: Financial Planning

Location: Exeter

Salary: £45,000 - £60,000

Job reference: 15310

Job Description:

Recruit UK are working on an excellent opportunity for a Compliance and Operations Manager to join an a Financial Advice practice in Exeter.

This is a senior opportunity for someone with drive to join a thriving Chartered practice in Exeter. Your role will include but not be limited to the following duties:

  • Supervision of the administrators and paraplanners
  • Training and development
  • Monitoring performance and holding meetings to discuss development/ progression
  • Review the companies business processes ensuring you communicate changes to the teams
  • Maintain compliance registers
  • Coordinate complaints and ensure smooth resolution
  • Organise FCA reports
  • Prepare applications to the FCA
  • Liaise with key individuals in the company
  • Maintain the firms reports templates, ensuring changes in legislation and guidance from external compliance consultants it taken into account
  • Produce MI reports
  • Implement action points from annual external audits
  • Prepare the companies PI insurance applications
  • Deliver induction courses to new starters
  • File reviews and supervision of compliant file maintenance

What’s in it for you?

  • Generous salary up to £60,000, negotiable d.o.e
  • 25 days annual leave plus bank holiday
  • Death in service x 3 annual salary
  • Access to a health and reward scheme
  • Buy/Sell holiday
  • Commission schemes
  • Pension 4%
  • Flexible work from office / home available d.o.e

Skills and experience required:

  • 5 years IFA experience desirable
  • Level 4 CII Diploma in Financial Planning essential
  • Chartered desirable
  • Experience within a similar compliance role within an IFA/Accounting practice advantageous
  • You must have a strong work ethic
  • Able to manage a team, to delivery feedback and to motivate
  • Able to produce high quality reports and letters
  • You must have a keen eye for detail
  • IT skills
  • Personal and professional
  • Able to handle pressure
  • Familiarity with IO advantageous
  • Understanding of FCA compliance procedures is essential
  • Research and analysis skills is essential