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IDEX Consulting Ltd
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Birmingham, West Midlands
Compliance Manager
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Job Type: Full-time |
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Salary: £50,000 per annum |
Overview
Compliance and Practice Senior Manager. This is a senior position for a growing IFA firm based in north Birmingham, leading to a Director position for an outstanding candidate. The role has become available due to the current Compliance Director retiring in the late summer. The person will have direct responsibility for: Regulatory risk management of all group companies. The management of IFA compliance policy. Management and development of training and development programmes throughout. Managing and setting compliance processes throughout the group and its offices. Oversight management over the client servicing department. Due diligence management of all on boarding. Acquisitions - Associate IFAs and employed staff. Complaint management. Best advice checking - suitability report management and development. File checking. Organising training days for IFAs, trainees. This is an IFA who are a real leader in the development of young staff through its academy. The brand is strongly rooted and enjoys an excellent positive cultural identity. The person: Can demonstrate experience in a similar scale operation. Hold Level 4 and be working towards or looking to gain Chartered status. Technically thorough and well organised. Can work quickly, ideally strong IT skills and knowledge of back office system IO a definite advantage. The candidate will be independently minded and have a strong sense of integrity. Energetic, enthusiastic, positive can-do attitude. A good communicator. The person should be able to deal effectively with strong personalities. Pension - life assurance - N-Share options after qualifying to Director level. Visit the IDEX Consulting Ltd website for further opportunities. We value diversity and always provide guidance based on merit. Please note that the information supplied may be retained for up to 3 years for use in connection with future vacancies. For full information on how we use your data, please visit the IDEX Consulting website and view our Privacy Policy.