We’re working with a highly successful and growing financial planning organisation that is looking to strengthen its specialist M&A capability with the appointment of a Compliance Manager.

Working as part of the acquisitions function, you will assess financial advice businesses ahead of potential transactions, building a clear picture of their regulatory history, advice practices and potential areas of exposure. You will then help ensure any issues identified during the assessment process are appropriately addressed as businesses join the wider group.

Role & Responsibilities:

• Carrying out detailed regulatory assessments of financial planning and wealth management businesses prior to acquisition
• Reviewing a broad range of information to understand the compliance history and risk profile of each business
• Interrogating management information and client data to spot trends, anomalies or areas requiring further investigation
• Identifying areas of historic advice that may present increased regulatory or client risk
• Working alongside advice/file review specialists to understand whether individual findings point towards wider systemic issues
• Comparing information from different sources to identify gaps, contradictions or areas where further evidence is needed
• Assessing the significance of findings rather than treating every technical breach as carrying the same level of risk
• Presenting clear conclusions and recommendations to senior decision-makers
• Highlighting significant concerns early enough for them to be considered as part of the transaction
• Helping establish appropriate remediation or post-acquisition actions where required
• Working closely with colleagues across compliance, legal, finance and operational teams throughout the acquisition process
• Engaging professionally with owners and senior employees of businesses going through due diligence
• Supporting the continued development of the organisation’s acquisition and due diligence processes

Do you have the following to apply?

• Minimum Level 4 Diploma in Financial Planning (or equivalent)
• Strong experience within UK financial advice or wealth management compliance
• Experience in areas such as compliance monitoring, regulatory reviews, advice file assessment, audit, risk or due diligence
• A good practical understanding of the FCA regulatory environment affecting financial advisers and wealth managers

Due to the high volume of applications received we are unable to respond to everyone directly. If you are not contacted within 7 working days, you have unfortunately not been shortlisted.

Clayton Davies is acting as an employment agency on behalf of our client.