Compliance Manager

James Phillip Recruitment are working with a local award winning Chartered Wealth company looking to take on a Compliance Manager.

The Compliance Manager is responsible for supporting and enhancing my clients compliance framework, ensuring the firm operates in accordance with all applicable FCA regulations, industry standards, and internal policies.

The role is designed as a key succession and development position within the firm.

The successful individual will be expected to progressively assume greater responsibility for the oversight of the compliance function, with the long-term objective of becoming the firm's SMF16 (Compliance Oversight) Function holder, subject to regulatory approval and demonstrating the necessary competence, capability, and experience.

Main roles

• Regulatory Compliance
• Compliance Monitoring of their Chartered advisers
• Uphold Consumer Duty and client outcomes
• Deliver training