Compliance Manager

Stansted, United Kingdom

AFH financial group

Full time

Permanent

AFH Wealth Management is proud to be one of the UK's leading independent financial advisory and wealth management firms. This role is based at AFH Wealth Management Bishop's Stortford. We believe that our success starts with our people. If you are determined to succeed and eager to take on new challenges, you'll find a variety of exciting career opportunities at AFH. This is a full-time, permanent opportunity, with hybrid working, and a competitive salary and range of benefits.

Compliance Manager

Our Compliance Manager will oversee the company Compliance Processes and Procedures to ensure regulatory obligations as well as Group requirements are met. You will be responsible for maintaining systems and controls to minimise risk and develop staff, while promoting a positive culture within the firm at all times.

As our Compliance Manager, you will be responsible for:

• Implementing and maintaining company compliance policy & procedures.


• Producing and maintaining up to date management information, reporting to the Senior Management Team and highlighting any trends or recurring problems.


• Ensuring all Training & Competency records are up to date and fully reflect the works conducted throughout the year.


• Conducting file reviews, as well as annual fit & proper checks for IFAs and other regulated staff.


• Supporting and coordinating training and the delivery of CPD for all relevant staff members.


• Managing and maintaining all company Risk Registers.

What we are looking for in our ideal Compliance Manager:

• Regulatory Compliance Level 4 qualified


• Strong experience overseeing and delivering a Compliance Function as well as Training & Competency.


• A demonstrable knowledge of regulatory rules and principles.


• Experience checking and reporting on IFA files or other regulated work.


• Ability to work independently and on own initiative.


• A high level of accuracy and attention to detail.

Benefits and Perks at AFH

• Flexible working & holidays - Enjoy flexible working and competitive holiday allowance, with annual buy & sell scheme options and your birthday off. Plus, additional holiday days for long service.


• Social perks - To recognise and celebrate employees' great work we are all invited to our annual Christmas and Summer parties.


• Pension - We offer a contributory pension scheme as well as death-in-service benefit.


• Professional development - We are committed to helping you reach your potential by offering tailored learning and development programmes to pursue your career goals.

Apply today to register your interest in joining our team.

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information, reporting to the Senior Management Team and highlighting any trends or recurring problems. Ensuring all Training & Competency records are up to date and fully reflect the works conducted throughout the year. Conducting file reviews, as well as annual fit & proper checks for IFAs and other regulated staff. Supporting and coordinating training and the delivery of CPD for all relevant staff members. Managing and maintaining all company Risk Registers. What we are looking for in our ideal Compliance Manager: Regulatory Compliance Level 4 qualified Strong experience overseeing and delivering a Compliance Function as well as Training & Competency. A demonstrable knowledge of regulatory rules and principles. Experience checking and reporting on IFA files or other regulated work. Ability to work independently and on own initiative. A high level of accuracy and attention to detail. Benefits and Perks at AFH Flexible working & holidays - Enjoy flexible working and competitive
holiday allowance, with annual buy & sell scheme options and your birthday off. Plus, additional holiday days for long service. Social perks - To recognise and celebrate employees' great work we are all invited to our annual Christmas and Summer parties. Pension - We offer a contributory pension scheme as well as death-in-service benefit. Professional development - We are committed to helping you reach your potential by offering tailored learning and development programmes to pursue your career goals. Apply today to register your interest in joining our team.

AFH Wealth Management is proud to be one of the UK's leading independent financial advisory and wealth management firms. This role is based at AFH Wealth Management Bishop's Stortford. We believe that our success starts with our people. If you are determined to succeed and eager to take on new challenges, you'll find a variety of exciting career opportunities at AFH. This is a full-time, permanent opportunity, with hybrid working, and a competitive salary and range of benefits. Compliance Manager Our Compliance Manager will oversee the company Compliance Processes and Procedures to ensure regulatory obligations as well as Group requirements are met. You will be responsible for maintaining systems and controls to minimise risk and develop staff, while promoting a positive culture within the firm at all times. As our Compliance Manager, you will be responsible for: Implementing and maintaining company compliance policy & procedures. Producing and maintaining up to date management