Current Vacancies:
Compliance Manager
Location: Home or Head Office based – Chorley (with onsite office visits as required)
Salary: Dependent on experience and qualifications
Benefits: 25 days holiday (rising with length of service) plus Pension, Life Assurance, Income Protection
Role overview: This newly created role, reporting to the Group Regulatory Director, is pivotal to Perspective’s next stage of acquisitive growth. A large proportion of the role holder’s time will be spent performing regulatory due diligence on potential acquisitions to determine whether there are any risks present and if so, how they can be mitigated. The role involves undertaking all regulatory preparations prior to acquisitions taking place. Post-acquisition, you will ensure that full compliant regulatory integration is achieved. The role holder will also be required to assist with ‘business as usual’ policy and compliance oversight work.
Key responsibilities:
- Working closely with the Group Regulatory Director, Acquisitions Director and Business Monitoring Manager, undertake detailed regulatory due diligence on potential acquisitions of client banks and firms to assess whether any risks are present and make recommendations as to how they can be mitigated. Summarise findings in a detailed report for presentation to the PFG Board and relevant third parties.
- Facilitate compliant regulatory integration of acquired firms and client banks into the Perspective regulatory framework.
- Assist the Group Regulatory Director to ensure the regulatory framework within subsidiary firms remains compliant with all applicable FCA rules, guidance, policy and best practice.
- Delivery of high quality regulatory support and guidance to subsidiary firms.
- Assessment of existing practices against current regulatory legislation and best practice within Perspective Financial Group Limited (PFG) subsidiary firms. Identify areas where PFG subsidiary companies can improve their regulatory behaviour.
- Act as a technical expert in areas of responsibility.
- To act with clients best interests at the heart of decision making and to promote this philosophy throughout the group.
- Ensure that knowledge of all relevant regulatory matters is kept up to date. Maintain up-to-date CPD records demonstrating that skills and knowledge required to do the job are being maintained and enhanced.
Skills Required:
- Excellent attention to detail
- Ability to interpret data and information to analyse where existing procedures and practices create risk and/or do not meet with current regulatory standards.
- High standard of both written and verbal communication skills.
- Highly organised, able to work to tight deadlines and on own initiative by planning and prioritising workloads
- Able to identify and implement compliance solutions.
Qualifications/knowledge/experience:
- Diploma in Financial Planning (or equivalent)
- Working knowledge of the UK regulatory framework with a detailed knowledge of COBS and SUP handbooks.
- Technically competent in the areas of Pensions and Investments.
- Minimum of 5 years financial services industry experience, preferably in an FCA compliance monitoring/consultancy/technical specialist role with experience of dealing with a variety of Financial Advisory firms.
Personal Qualities:
- High level of attention to detail is a dominant characteristic
- A desire for continuous improvement
- A hunger for maintaining and improving regulatory knowledge
- Confidence to act decisively in a calm manner
- Willingness to train and support other to achieve desired outcomes.
To apply, please send your CV and cover letter to julie.hepworth@pfgl.co.uk.
