Regional Compliance Manager – North West

A National Wealth Management organisation are currently looking to recruit within their Compliance dept. Your office base will be the Chester office. You will be occasionally travelling to various offices throughout the North of England working with Financial Planners, Development Directors and compliance team.

Your role will be to:

Deliver Adviser training and competence reviews
Hold 1-1’s for observations with Financial Planners on T&C Schemes
Monitor the CPD alongside Financial Planners and Investment Advisors to ensure continually updated and completed.
Review files on pre and post sales to identify any training needs
Attend compliance meetings regularly and deliver reports on activity
Quality Checks

Our client has asked for applicants to have compliance experience within wealth management and an understanding of advisory and discretionary investment management.

If you have any experience with client file reviews or suitability reviews that would be an advantage

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