SM Senior Manager (Director Designate): Group Compliance and Client Service Standards

This challenging role is based at our Cheshire head office and combines the necessity for a strong compliance background in retail financial services, preferably in the independent or restricted advisory sector, with the ambition and confidence to assume responsibility for the CF10 role for our UK Wealth Management subsidiary, as well as managing and setting the standards for their twelve strong advisory team.

The role also involves managing one compliance officer in support, reporting to the executive chairman on a weekly, monthly and quarterly basis to ensure compliance with regulatory standards, correct and timely submissions of regulatory returns, liaising with the accounts team to ensure continued compliance with capital adequacy requirements, managing the professional indemnity renewals process as well as developing a client servicing framework which ensures that our clients receive value for money for their annual fees.

Starting salary: £60,000 with an annual bonus based upon the achievement of various metrics.

The usual additional benefits of pension, death in service and private health care will also be part of a competitive package where the ultimate aim will be the successful candidate to be considered for appointment to the board by the early part of 2019.

If this is the next opportunity that you are looking for, please send your CV to Paul Beard ( along with a covering letter demonstrating why your feel you are the right candidate for the role.