Compliance Manager
Compliance ManagerFinancial Planning Firm South Birmingham Hybrid WorkingAn established and growing Financial Planning firm based in South Birmingham is seeking an experienced Compliance Manager to join the business following the departure of a long-standing incumbent of six years.This is a key hire for the firm and offers genuine longer-term progression, with scope to take on increased responsibility and potentially step into an SMF function as the business continues to grow.The firm has been established for 10 years, employs around 20 staff, and has a strong compliance culture, having recently passed a SimplyBiz audit with no issues identified.The RoleWorking closely with the Director, advisers and SimplyBiz, the Compliance Manager will have responsibility for the day-to-day oversight of the firm''s compliance framework, ensuring regulatory requirements are met while supporting the continued growth of the business.Key responsibilities include:Oversight of adviser TandCsRegulatory reporting and FCA compliance requirementsEnsuring ongoing adherence to Consumer DutyOversight of external file checking and remediation where requiredProvider due diligenceGovernance, oversight and ongoing suitability of the firm''s Centralised Investment Proposition (CIP)Playing a key role in the ongoing development and governance of the CIP, working closely with advisers and external compliance partners to ensure suitability, robustness and regulatory alignmentReporting directly to the DirectorMa
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