Have you got experience in conducting the due diligence on M&As and liaising with the regulatory bodies (FCA, HMRC etc) if so then you may be interested in a new Advice and Governance Manager opportunity.

IntroductionI am currently recruiting for an organised, enthusiastic, and knowledgeable Compliance professional to join a growing Compliance and Risk team at a leading financial planning and discretionary investment management house. This is a fantastic opportunity to work in a fast-paced, collaborative environment, utilising your skills and expertise to deliver outstanding outcomes for clients.

About the CompanyThe company is an independently owned entity that has been dedicated to providing high-quality services for private clients, trusts, and smaller institutions since 2004. Managing and advising on over £9 billion of client assets, the company prides itself on improving clients' relationships with their wealth, ensuring it is a positive force for their future. The firm boasts a strong culture, focused on employee satisfaction and professional growth.

Role OverviewThe Advice and Governance Manager will be responsible for a broad range of duties within the Compliance Division, including:

• Providing compliance support on projects as the company responds to changes in regulation or looks to make operational improvements.
• Engaging with Regulatory and Government bodies such as the FCA, HMRC, and ICO, handling thematic reviews, data requests, or participation in audits.
• Overseeing Entity Governance, including applications for new or removal of existing FCA permissions for individuals, and changes in control applications for acquisitions.
• Supporting the Mergers and Acquisitions Team and assisting in due diligence of new firms.
• Managing a small team of Compliance Specialists.

Candidate ProfileThe ideal candidate for this role will have:

• A passion for compliance and a proven track record of delivering excellent outcomes for clients.
• Previous experience in a compliance advisory or governance role within the financial services industry.
• A thorough understanding of the FCA Handbook and experience with FCA interactions.
• Proficiency in FCA’s Connect and Reg Data systems.
• Excellent interpersonal and communication skills, capable of engaging with various departments.
• Strong organizational skills and the ability to manage multiple projects.
• Relevant qualifications in Financial Services, Compliance, Risk, or Supervision are preferable.

LocationFlexible working options are available. Ideally, candidates will be based out of the Bath, Whiteley, or London office for part of the week, with the ability to work from home as needed.

Benefits

• Competitive salary range of £60,000 – £70,000, dependent on experience.
• 28 days’ holiday plus bank holidays and your birthday off.
• Study assistance, life assurance, income protection, and a pension.
• Access to a flexible benefits platform.

Why This Opportunity Is UniqueYou will be joining a company that truly lives its culture, providing a fantastic work environment for all its staff. They champion flexible working and are open to discussing different working patterns to accommodate your needs.

If you are looking to make a significant impact in a growing sector and believe you meet the above criteria, please apply for the Advice and Governance Manager position. I look forward to discussing how you can make a significant impact at this dynamic company.