A Brighton based Wealth Manager are looking for a Compliance Manager to join their small team. Post COVID you will expected to be in the office 2 or 3 days per week, so this role would suit someone in the Sussex area, or someone that is willing to commute for those couple of days.
The position will be a stand alone role, so strong Compliance experience is needed. The firm will be rapidly growing over the next few years, so they would like someone that is eager to step into a Director level role with a position on the board.
Ensuring the firm can respond to requests for information from the FCA and provide the requisite notifications to the FCA
Producing a formal compliance report for the firm's senior management on a periodic basis e.g annual/six monthly
Ensuring appropriate ethical standards exist within the firm
Checking knowledge of the necessary regulatory requirements is kept up to date
Ensuring that any non-advising approved person is competent for the role they undertake, by formally reviewing this on an annual basis in line with the T&C requirements
Salary can be flexible for the right candidate, but for now we are looking in the Â£75,000-Â£90,000 mark.
Please apply through the link, or let me know if you'd like to discuss in more detail - firstname.lastname@example.org