Compliance Manager - Financial Planning

Full job description

The role in brief:

We are seeking a proactive and enthusiastic Compliance Manager to join our passionate and dedicated team, making a real difference in the financial well-being of our clients.

In this role, you will play a crucial part in ensuring that our business adheres to all regulatory requirements and maintains a culture of compliance excellence and consumer friendly outcomes.

Who we are looking for:

This is an ideal opportunity for someone who is passionate about compliance and looking for an exciting opportunity to make a significant impact, in a supportive and collaborative work environment where your contributions are valued and recognised.

What the role involves:

PM+M Financial Planning are a dynamic and forward-thinking independent financial services business with 8 dedicated advisers. Our mission is to help client achieve financial reassurance and freedom. Bringing plans to life, helping to navigate the now and next. We aim to provide exceptional financial advice and services to our clients, ensuring their financial well-being and success. We are committed to maintaining the highest standards of compliance and ethical conduct in all our operations.

Key responsibilities will include:

Own, improve and expand our compliance framework and strategy, consumer duty plan and compliance diary - ensuring an effective and efficient approach to maintaining regulatory compliance and, great culture.

Develop, implement, and monitor compliance policies and procedures to ensure adherence to regulatory requirements and consumer duty principles.

Provide expert guidance and support to our advisers on compliance matters, fostering a culture of compliance awareness and accountability.

Stay up-to-date with the latest regulatory developments and industry best practices, ensuring our business remains at the forefront of compliance.

Collaborate with senior management to develop and deliver compliance training programs for all staff members.

Prepare and submit compliance reports to regulatory authorities as required whilst developing and maintaining a relationship of trust with all regulators, with proactive, transparent, and timely engagement.

To work with Three Sixty, our external compliance partners and conduct regular compliance audits and risk assessments to identify and address potential issues.

To manage our T+C scheme with support from Financial Planning partners whilst designing/implementing/supporting any training needs highlighted.

The chance to work with a passionate and dedicated team, making a real difference in the financial well-being of our clients.

If you are ready to take on an exciting challenge and contribute to the success of our business, we would love to hear from you. Apply now and join us in our mission to provide exceptional financial services while maintaining the highest standards of compliance.

Your development

There would be opportunities for professional growth and development, including ongoing training programs. There is the opportunity to progress to FCA Senior Management Function – compliance manager.

We have 6 monthly performance review conversations to ensure your development is on track, with optional monthly 1-2-1s. You will also have the opportunity to work with a mentor.

We also encourage you to get involved in wider firm initiatives and have your say on how we can progress on our journey towards being the best North-West firm of finance professionals.