Acquisitions Compliance Manager

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🔥 53 minutes ago

🇬🇧 United Kingdom – Remote

⏰ Full Time

🟡 Mid-level

🟠 Senior

🚔 Compliance

👻 Ghost score 12%

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Perspective (North East) Ltd

WebsiteLinkedInAll Job Openings

11 - 50 employees

Founded 1985

💸 Finance

👥 B2C

🤝 B2B

Finance • B2C • B2B

Perspective (North East) Ltd is part of Perspective Financial Group and operates as a regional independent financial advisory (IFA) office offering expert financial planning and wealth management advice to individuals, companies, and trustees. The company provides personal financial planning, corporate financial planning and advisory services for IFA firm succession/strategy, and is FCA-authorised through its group offices. Perspective (North East) Ltd is embedded in a nationwide network (70+ offices, 900+ staff, serving 25k+ households) with over 35 years’ experience and runs a training initiative (Perspective Academy) to develop staff.

📋 Description

• Lead end-to-end regulatory due diligence reviews across different acquisition structures, tailoring the scope and depth of work to the transaction, liabilities transferring and personnel joining the Group. • Undertake detailed reviews of regulatory and compliance documentation, management information, client data and business data, and vendor responses. • Analyse historic advice activity and identify higher risk products, advice areas, client populations and business practices requiring enhanced review. • Work closely with the file review team to understand key findings and themes arising from advice file reviews, assess their wider significance and incorporate relevant conclusions into regulatory due diligence reports. • Identify omissions, inconsistencies and weaknesses across evidence sources, including regulatory returns, FCA correspondence, PI submissions, complaints data, client files, business registers and financial information. • Reconcile regulatory findings and key data with financial due diligence and other transaction workstreams, ensuring material figures and conclusions are consistent across reports. • Assess the nature, scale and materiality of findings, distinguishing between technical issues and matters that create material regulatory, client, financial or transaction risk. • Produce concise, accurate and evidence based due diligence reports for senior management. • Escalate material risks and red flags promptly, providing clear recommendations and proportionate mitigation strategies. • Support regulatory onboarding activities and action plans, providing clear updates to relevant stakeholders and ensuring due diligence findings are carried through to resolution. • Work collaboratively with Regulatory, Finance, Legal, Operations and other acquisition workstreams. • Build constructive relationships with vendors and external stakeholders, asking clear and appropriately challenging questions while supporting timely completion of due diligence and onboarding. • Contribute to continuous improvement, including development of guidance, workflows, quality standards and proportionate use of AI and other technologies.

🎯 Requirements

• Qualified to QCF Level 4 or above in financial planning, regulated financial planning, compliance or an equivalent relevant professional qualification. • Relevant experience in financial services compliance, regulatory due diligence, compliance monitoring, file review, audit or risk consultancy role. • Strong understanding of the UK wealth management and financial advice industry, including relevant products, services and advice processes. • Strong working knowledge of the FCA regulatory framework applicable to UK financial advice and wealth management firms, including practical experience across several of the following: Consumer Duty, MiFID II ongoing servicing, COBS and suitability, IPRU, SYSC, TC, FIT, complaints, SM&CR, regulatory reporting and professional indemnity insurance. • Demonstrable analytical and investigative skills, including the ability to review complex or incomplete information, reconcile data from different sources, identify inconsistencies and reach balanced, evidence based conclusions. • Ability to distinguish between technical findings and matters that create a material regulatory, client, financial or transaction risk. • Inquisitive and naturally curious, with the confidence to look beyond initial responses, challenge gaps or inconsistencies, and seek the evidence needed to reach sound conclusions. • Strong report writing skills, with the ability to convert detailed technical findings into concise, balanced and commercially relevant commentary for senior stakeholders. • Excellent interpersonal and verbal communication skills, including the confidence to ask probing questions, communicate uncertainty and manage sensitive vendor or stakeholder relationships constructively. • Highly organised, with the ability to manage a varied workload, maintain accurate records and deliver high quality work to tight deadlines. • Competent user of Microsoft Excel, with the ability to organise, filter, reconcile and interpret sizeable datasets and produce management information to support decision making. • Comfortable working independently in a high growth and changing environment, while collaborating effectively across multidisciplinary teams.

🏖️ Benefits

• 25 days holiday (exc. Bank holidays) • Holiday Purchase scheme • In-House Training Academy • Annual Salary Review • Day-off on Birthday • Life Assurance & Pension

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