Job Description

Introduction

We are looking for an organised, enthusiastic, and knowledgeable Compliance professional to join our growing Compliance and Risk team. As part of the team, you'll have the opportunity to work in a fast-paced, collaborative environment where you'll be able to utilise your skills and expertise to deliver amazing outcomes for our clients.

Why Saltus?

Our mission is to improve everyone's relationship with their wealth: to make it a positive force for their future and at the same time to prevent it being a source of anxiety. We want everyone who works at Saltus to be proud to work here, and to find fulfilment and meaning in the work that they do.

We are a successful LLP, with a number of offices including London, Whiteley, Farnham, Bath and Newcastle. We are incredibly proud of our culture and work really hard to ensure that Saltus is a great place to work for our people, where they can have fun and grow in their career, with a passion for excellence and customer service.

Saltus is an independently owned financial planning and discretionary investment management house. We are dedicated to providing a high-quality service for private clients, trusts, and smaller institutions.

Saltus Partners was founded in 2004 and has grown organically and through a small number of carefully integrated acquisitions. Originally the business started out as an investment manager and has now developed the financial planning side of the offering, putting this at the forefront of the client relationship.

Today Saltus manages and advises on over 9 billion of client assets, acquired through a combination of organic business growth and corporate acquisitions.

Can you tell me more about the role?

You'll have responsibility for a wide range of duties within the Compliance Division, including the following:

Providing compliance support on projects as we respond to changes in regulation or look to make improvements to how we operate. Owner of engagement with Regulatory and Government bodies such as FCA, HMRC and ICO. This includes handling of thematic reviews, data requests, or participation in any official audits. Oversight of Entity Governance, including applications for new, or removal of existing FCA permissions for individuals, changes in control applications for acquisitions, or changes in permissions held by any Group entity. Providing support to our Mergers and Acquisitions Team and assisting in due diligence of new firms as they look to join Saltus. Oversight of adherence with the Certification Regime. Maintenance of entity Governance Maps, (or Management Responsibility Maps ("MRMs") for any entity which trips the threshold of an enhanced firm and is required to hold one). Assistance in the production of Consumer Duty MI for the Consumer Duty Champion. Oversight of Reg Data submissions; either directly through the Compliance Function, or via other teams in the Group such as Finance. Oversight of regulatory engagement for the Saltus DFM / IM, and our two main distribution channels of Saltus Financial Planning ("SFP") and the Abacus Group of companies. Management of a small team of Compliance Specialists.

What skills and experience do I need to have?

We think that the best candidate for this role will have:

Energy and a passion for helping Saltus remain compliant and to continue to provide the best possible outcomes for our clients. Previous compliance experience in a first line or advisory / governance capacity, including an understanding of how a three lines of defence model works. A sound working knowledge of the FCA Handbook. Experience in dealing with the FCA on controlled function applications and similar. A good understanding of the FCA's Connect and Reg Data systems. Good understanding of SM&CR, Consumer Duty and other key Regulatory legislation relevant to a DFM, Asset Manager, and Financial Planning advice firm. The desire to take on a variety of tasks, adapting to changing business needs. Excellent interpersonal, verbal, and written communication skills with strong attention to detail. Outstanding communication skills, able to communicate with departments across the business, at all levels. The ability to take ownership and responsibility for tasks and projects, working autonomously and collaborating as needed with key stakeholders. Proficient computer skills, Microsoft Office Suite (Word, PowerPoint, Outlook, SharePoint and Excel). A willingness and flexibility to travel to office sites as required. If you are able to drive and have your own transport, that would be highly advantageous. Qualifications in Financial Services, either as an adviser or in Compliance, Risk, or Supervision.

Where will I be working?

We're incredibly flexible about where, when, and how you work: we don't want anyone to be prevented from coming to work for Saltus as a result of the working pattern that they're looking for. Ideally, you'd be able to be based out of either our Bath, Whiteley or London office for two to three days each week, working the remainder of the week from home.

We are passionate about championing flexible working for our people, so if there's a slightly different working pattern that you're looking for, then please come and have a chat to us about it.

What benefits do I get when working for Saltus?

Salary range 60,000 - 70,000 dependent on experience, alongside 28 days' holiday (plus bank holidays and your birthday), study assistance, life assurance, income protection and a pension, alongside access to our flexible benefits platform.

Just as importantly, you'll get to experience our culture, which we really do live and breathe, ensuring that Saltus is a fantastic place to work for every single one of our 400 people. If you think you'd like to come and join us, then please do get in touch... we'd love to hear from you.

Job Types: Full-time, Permanent

Pay: 60,000.00-70,000.00 per year

Benefits:

Casual dress Company events Company pension Life insurance Referral programme
Work Location: Hybrid remote in Fareham PO15 7AZ