Compliance Manager

Looking for your first managerial role?

You’re an experienced Compliance professional and now want to take on some managerial responsibility but getting that first managerial position can be frustratingly difficult. Why do so many such vacancies require previous managerial experience? How are you supposed to get such experience if no-one will give you the chance?

Well this is your chance. The chance to manage a small, knowledgeable team and to assist the Head of Compliance in ensuring the business complies with all relevant legislative and regulatory requirements.

You’ll be working for a highly successful pensions management firm that has successfully disrupted the pensions advice arena. As well as managing the Compliance team, you’ll be delivering the Compliance Monitoring Plan and creating and maintaining the firm’s compliance policies, procedures and registers.

You’ll conduct thematic reviews and internal audits of company processes, identifying areas for improvement and making appropriate recommendations. You’ll also oversee and assist with the delivery of company compliance training and the completion of all regulatory reporting.

You’ll be an experienced Compliance professional from the pensions or wealth management arena ideally, although candidates with an insurance background will also be considered. You’ll also ideally have a relevant level 4 qualification.

Above all, you’ll have an aptitude for management and the ability to communicate effectively at all levels across a business.

And you’ll be highly values driven. You’ll share the firm’s desire to deliver the best customer experience and outcomes.


Click apply. Not got an up to date CV? Don’t worry, you can always give me (Mark) a call on 0121 274 0357 for an informal chat or email me at [email protected] We’ll pick it up from there.

Company:Leading Pensions Advice Firm


Workplace: Hybrid Working

Salary:To £45k + benefits


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