Compliance Manager

We''re working with a highly successful and growing financial planning organisation that is looking to strengthen its specialist MandA 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 and 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 ..... full job details .....