Job Description

About Us:

At Croft & Oakes Chartered Financial Planners we are a well-established and respected independent financial advice firm, committed to providing comprehensive and tailored financial planning solutions to our diverse client base. With a focus on long-term relationships and exceptional service, we pride ourselves on our ethical approach and a robust compliance framework.

The Opportunity:

We are seeking a dedicated and proactive Compliance Manager to lead and manage all aspects of our regulatory compliance framework. This is a critical role responsible for ensuring our continued adherence to FCA regulations, industry best practices, and internal policies, thereby safeguarding our clients' interests and the firm's reputation.

Key Responsibilities:

Regulatory Oversight:

Monitor and interpret changes in FCA rules and guidance, assessing their impact on the business and implementing necessary adjustments to policies and procedures.

Policy & Procedure Development:

Develop, maintain, and review comprehensive compliance policies, procedures, and controls.

Training & Awareness:

Deliver effective compliance training to all staff, fostering a strong compliance culture across the firm.

Monitoring & Assurance:

Conduct regular compliance monitoring, audits, and risk assessments to identify and mitigate potential compliance breaches.

File Reviews:

Conduct robust client file reviews to ensure suitability, accuracy, and adherence to regulatory requirements.

Reporting:

Prepare and present regular compliance reports to senior management and the board.

Breach Management:

Investigate and report any compliance breaches, ensuring appropriate remedial action is taken.

Relationship Management:

Act as the primary point of contact for the FCA and other regulatory bodies, as required.

SM&CR:

Support the firm's adherence to the Senior Managers & Certification Regime (SM&CR).

Financial Promotions:

Review and approve financial promotions and marketing materials for regulatory compliance.

What We're Looking For:

Essential:

Proven experience (minimum 2 years) in a dedicated compliance/file checking role within a UK financial advice practice or regulated financial services firm. Excellent understanding of financial products and services (e.g., pensions, investments, protection). Strong analytical skills with the ability to interpret complex regulations and apply them practically. Exceptional attention to detail and accuracy. Excellent communication (written and verbal) and interpersonal skills, with the ability to influence and educate at all levels. Proactive, self-motivated, and able to work autonomously as well as part of a team. Relevant compliance qualifications (e.g., Diploma in Regulated Financial Planning, Advanced Diploma in Compliance, ICA Diploma in Compliance).

Desirable:

Experience with specific compliance software or systems. Experience in a firm that has recently undergone a significant regulatory change.

What We Offer:

A competitive salary and benefits package. Opportunity to play a key role in a reputable and growing firm. A supportive and collaborative working environment. Ongoing professional development and training opportunities. Whilst this job will be office based we will accommodate some home working.
Job Type: Full-time

Pay: 45,000.00-65,000.00 per year

Additional pay:

Bonus scheme
Benefits:

Company pension Free parking On-site parking Work from home
Schedule:

Monday to Friday
Experience:

compliance/file checking: 2 years (preferred)
Work Location: In person