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My client a very prestigious Wealth Manager is currently looking for a part time operations manger with a strong background in compliance/file checking.

Purpose of the role

Taking overall responsibility for managing the Business and ensuring the firm remains compliant in an ever changing world of Compliance. Working with the firm’s external Compliance Provider to keep the firm’s internal Compliance Procedures up to date.

This role also requires good management skills to ensure that everyone at continues to work as an efficient team.

Responsibilities

  • Comply at all times with the firm’s Compliance; Training & Competence; Complaints and Data Security policies / procedures.
  • To ensure that the firm’s clients are treated fairly at all times.
  • To work as part of a team alongside the firm’s advisers to provide clients with a professional ongoing financial planning experience.
  • Attend training and to develop relevant knowledge and skills.

Skills

  • Good Interpersonal skills
  • Reasonable understanding of IT Systems (Specific Training will be given).
  • Good written and oral communication skills.
  • Good methodical and organisational skills.
  • Accurate with good attention to detail.
  • Ready to ask questions to ensure responses received are accurate

Knowledge

  • Detailed knowledge of the FCA’s and the firm’s record keeping requirements.(Training will be given where appropriate)
  • Basic knowledge of the financial services sector.
  • Knowledge of the following software packages: Microsoft Outlook, Excel, Word,

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