We require an experienced Compliance Monitoring Manager to assist with our ever-growing compliance requirements. The ideal candidate will have a good background and knowledge of compliance within a financial services environment, and who can demonstrate a keen eye for detail.
As part of the role you will be expected to carry out file reviews, understand the complex requirements of a busy compliance department and be able to communicate effectively to a large team of paraplanners and advisers.
This role requires someone who has attained Diploma Level 4 (or similar) and ideally holds the AF3 (or equivalent) qualification.
At Equilibrium we offer plenty of autonomy in an entrepreneurial environment. With this in mind this role could be a great alternative to anyone impacted by IR35.
The ideal candidate will be involved in some or all of the following areas dependent on experience;
- Effectively deliver feedback and guidance to advisers and paraplanners
- Overseeing Financial Promotions and marketing literature
- Assist in compiling data for KPI monitoring purposes across departments
- Liaising with highly technical individuals offering support where needed
- Investigating complaints
- Conducting file reviews to ensure suitability of advice and adherence to anti-money laundering procedures
- Working with all areas of the business to embed the culture of good compliance, risk practice and TCF
- When required, challenging existing policies and procedures for Compliance Best Practice
- Reporting progress to the Head of Compliance and raising issues as appropriate and seeing those issues through to resolution
- Performing other tasks as considered appropriate to the proper execution of the responsibilities of the role
- Assisting in the development/update of policies, procedures and regulatory documentation
- Assisting in the preparation of monthly MI and annual reports to the regulators
- Maintaining knowledge of regulatory standards taking into account changes in regulation and legislation
- Diploma in Regulated Financial Planning level 4 or related qualification
- Strong product technical skills and the ability to apply these
- Proficient knowledge and experience of regulatory compliance
- Detailed understanding of regulatory rules and standards.
- Proven track record of meeting multiple objectives with evidence of a commitment to the attainment of good practice
- Demonstrable skills around attention to detail and accuracy
- Ability to recognise and score compliance risk, adjusting the intensity of compliance monitoring as appropriate
Being a member of the Equilibrium team you will have no problems:
- Getting things done
- Being authentic and real, we don’t want any phoneys
- Displaying massive amounts of enthusiasm, energy, positivity, motivation and passion without exhausting those around you!
- Passionate about learning and growth
- Motivated to do a great job
- Able to change tack without it sending you into a tail spin
- Comfortable with change and a fast paced environment
- Displaying huge amounts of integrity, a fantastic work ethic and generally being a great person to have around!
- Being a self-starter who embraces responsibility and can manage own time
- Excellent oral and written communication skills and personal presentation skills
- Demonstrate resilience and flexibility in a demanding and fast paced environment
Finding the right people is at the heart of our success. Our hard-working, friendly team have fostered a healthy working environment that aims to bring out the best in everyone that works here.
We are very proud of our team and their commitment to excellence. We reward all team members with some of the most competitive salaries in the market place, challenging and exciting roles, fantastic benefits and a great place to work.
We have a friendly and relaxed recruitment process that sets us apart from other companies from the very start!
If you want to enjoy the time you spend at work and believe you have the relevant qualifications, a commitment and willingness to work for an award winning, forward thinking business, then why not check us out on Facebook, Twitter or Instagram to see what the team get up to!
Competitive basic salary, contributory pension, bonus, 33 days holiday plus bank holidays (going up to 38 with length of service) plus loads of other great benefits.
Apply for this job
If this job sounds like the one for you please fill in the form below and we'll be in touch as soon as possible.
For me, it's having the chance to find my path, focus my strengths and being given the freedom, with some much needed guidance along the way, to add value where I’m able to and the tools and drive to see where I can improve.
I think Equilibrium is a great place to work as employees are treated as adults. Information is openly shared so that people feel involved and in the loop. We ask for people’s ideas and implement the good ones. People are treated fairly, praised where it is due and held accountable when they don’t deliver. I feel we have a culture where work life balance is important with the holiday package and flexibility around hours.
For me it is the friendly and supportive people here at Equilibrium. I have really enjoyed the training and development I have received from the Academy so far. It has provided me with valuable skills which has helped my personal and professional development that I can take into the future.
In a sector that can often be confusing and complicated, we try and make things as simple as we can. I love our approach to problem solving, particularly for technical areas. We try and get right to the heart of the issue and ask why we are doing something, how it helps the client, and how it helps us to do our job. We don’t just do things because it’s what we’ve always done, or because everyone else is doing it.
I like the focus on creating a happy place to work including the attitudes and culture of team I work with. I also appreciate the work-life balance aspects as no matter how nice it is in work, it’s always good to have plenty of holidays.
I have been at Equilibrium for nearly 10 years and it still remains a great place to work. Even though the company has grown substantially over the years, it has maintained it’s culture.
It’s great to work in such an entrepreneurial environment where everyone is on the same wavelength. I also love how my role has a direct impact on staff and clients; it gives me a real sense of satisfaction when new ideas and processes work well.
There is a strong sense of purpose within the company and an understanding that the work we do can have a really positive impact on our clients lives. Every day is different, challenging and I'm encouraged to try new things and be innovative.