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Join a successful and award-winning boutique investment firm and make a real difference. We seek a Compliance Executive to join the team at a small but successful investment firm. They have been recognised for their excellence in the industry, winning several awards for their investment strategies. The ideal candidate will have: Previous experience in a compliance role, with a strong understanding of FCA and compliance regulations and requirements in the UK. Exceptional organisational and multitasking skills to manage multiple responsibilities and meet deadlines. Effective communication skills for collaboration with internal teams and external stakeholders. Team player with the ability to work both independently and collaboratively in a team-oriented environment. Professional demeanour, unwavering integrity, and a commitment to confidentiality. In this role, you will: Support ongoing assessment and monitoring of business, operations, and investment risks, and assist in the development of policies and procedures. Conduct regular compliance monitoring and oversight, promptly reporting any identified compliance issues. Assist in reviewing and approving marketing materials in alignment with FCA Financial Promotion rules in the UK. Provide valuable regulatory support to projects and change initiatives, maintaining meticulous records of compliance activities. Collaborate with the SMF16 to implement robust systems and controls to ensure continuous compliance with regulatory requirements. Develop management reports and prepare vital information for the Board and key governance committees as required. Investigating and reviewing any firm breaches, and identifying necessary policy changes or training requirements to ensure ongoing compliance. Assisting in responding to due diligence questionnaires and information requests from third parties. Take a lead role in fostering an effective compliance culture within the organisation. Staying updated on industry developments, best practices, and regulatory changes in the UK. Actively seeking opportunities for knowledge enhancement through training and professional development. This is a challenging and rewarding opportunity to make a real difference in a successful and award-winning boutique investment firm. If you are a compliance professional who is looking to make a meaningful impact, we would love to hear from you! This opportunity is office based in Bath, Somerset.
Join an innovative, forward-thinking, and highly successful financial planning company at an exciting stage of expansion. Our client is dedicated to providing an exceptional service to their clients, driven by a commitment to excellence and a passion for financial well-being. As our client continues to grow, they are seeking to recruit an experienced Client Service Manager to join their team who will contribute to their continued success. Position: Client Service Manager Location: Bath - Hybrid working - requirement to travel to other offices when needed Reporting to: Head of Client Services Responsibilities: As the Client Service Manager, you will play a pivotal role in leading and managing a team of approximately 10 staff members, including 2 team leaders. Your responsibilities will include: Directly reporting to the Head of Client Services and collaborating closely with other department heads to ensure seamless operations. Overseeing the day-to-day activities of the client services team, ensuring exceptional service delivery and client satisfaction. Providing leadership, guidance, and mentorship to team members to foster a culture of continuous improvement and professional development. Developing and implementing strategies to optimise team performance, efficiency, and effectiveness. Identifying and addressing client service issues in a timely and proactive manner, ensuring resolution and client retention. Monitoring key performance indicators (KPIs) and metrics to track team performance and identify areas for improvement. Contributing to the development and enhancement of client service processes, policies, and procedures. Work closely with Group Compliance to ensure FCA guidance is followed and outcomes are fully compliant with FCA regulations. Requirements: Previous experience working in a similar role as a Manager or Operations Manager within the financial services industry. Proven leadership experience, with the ability to lead, motivate, and develop teams effectively. Strong communication and interpersonal skills, with the ability to build and maintain positive relationships with clients, colleagues, and stakeholders. Excellent problem-solving skills, with the ability to analyse situations, identify solutions, and implement effective resolutions. Sound knowledge of financial services as a whole. Demonstrated ability to thrive in a fast-paced, dynamic environment, with a passion for driving results and achieving goals. Commitment to upholding the highest standards of integrity, professionalism, and ethical conduct. Why Apply: Opportunity to join a rapidly growing company at an exciting stage of expansion. Competitive salary and benefits package, including bonuses and opportunities for career advancement. Dynamic and collaborative work environment, where innovation and creativity are encouraged and valued. Supportive leadership team committed to your success and professional development. Opportunity to make a meaningful impact and contribute to the financial well-being of clients. If you are a driven and experienced Client Service Manager looking to take the next step in your career and join a growing company with numerous opportunities for advancement, we want to hear from you!