CF30 Consulting is recruiting a part-time Compliance Manager for a very well established and long-standing IFA firm in Didsbury, Manchester.
We are looking for a part-time compliance director for the firm who would be responsible for some functions under the Senior Management and Certification Regime. We would expect the succesful candidates work to take a maximum of two days per week and would pay a salary of £20,000 pa (£50k FTE) - the job may increase in scope over time as the firm grows and the remuneration would be adjusted upwards accordingly. A summary of the jobs that we would expect the individual to be responsible for is:
- Certifications (new and annual renewals)
- Training and competence overview
- Complaints
- PII renewals
- File audits (supported by external compliance consultant if required)
- Gathering annual SPS, CPD, Annual declaration from advisers
- Gathering references for new hires, inducting new advisers
- Dealing with ad-hoc regulatory queries from the board and the firm's advisers
- Liaising with the FCA as required