Compliance and Operations Manager
Hours of work: 8.45am - 5.00pm Monday to Friday, with one hour lunch
Salary: £45,000 - £60,000
A senior role in a directly authorised firm, working in a growing team of Chartered Financial Planners, based within a major South West Accountancy practice.
- Day to day supervision of the firm's non-authorised team of administrators and paraplanners. This will include training and coaching team members, holding regular back office team meetings, monitoring performance, holding appraisal meetings and maintaining personal development plans.
- Progressing the effectiveness of back office software within the firm.
- Routinely review the firm's business processes, communicating any procedural changes to the team and ensure their effective implementation.
- Maintain the firm's compliance registers.
- Coordinate responses to any complaints received by the firm.
- Prepare FCA reports using the RegData system.
- Prepare applications to the FCA using the Connect system.
- Maintain the firm's suitability report templates, reflecting changes to taxation, legislation and guidance from external compliance consultants.
- Produce regular MI reports for the Head of Financial Planning.
- Liaise with key individuals within the firm, including the group's financial controller, IT Manager and HR Manager.
- Liaise with external Compliance Consultants.
- Implementation of action points from the firm's annual external audit.
- Prepare and coordinate the firm's annual PI insurance applications.
- Design and deliver induction courses for new starters.
- File reviews and supervision of compliant file maintenance.
Experience, attributes & skills sought:
- A minimum of 5 years previous IFA experience essential.
- Minimum Level 4 CII Diploma in Financial Planning.
- Level 6 Advanced Diploma in Financial Planning is desirable.
- Compliance experience, especially within an IFA accountancy-based firm, would be an advantage
In return, you will benefit from:
- 25 days annual leave plus bank holidays.
- Death in service 3 x annual salary.
- Access to Westfield Rewards and Health scheme.
- 24-hour external Employee Assistance Programme helpline.
- Buy and sell holiday.
- Introducing clients and staff commission schemes.
- Employee 4%, Employer 3% rising to 4% (matched up to 6%) after 4 years' service.
Closing date is 7 th June 2021
Hawk 3 Talent Solutions are operating as an employment agency on behalf of its client.
Hawk 3 Talent Solutions are committed to the selection, recruitment and development of the best people, basing judgements solely on suitability for the job. Whilst we endeavour to respond to all applications individually, due to high volumes, this is not always possible. Thank you for your interest in this role and we look forward to working with you in the future