Senior Acquisitions Compliance Manager

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🔥 1 minute ago

🇬🇧 United Kingdom – Remote

⏰ Full Time

🟠 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

• Take ownership of a portfolio of concurrent regulatory due diligence exercises, maintaining a detailed understanding of each deal and providing ongoing oversight and challenge to ensure the RDD process is completed correctly, key risks and outstanding matters are appropriately investigated, and reviews progress efficiently to a high-quality conclusion. • Work closely with Acquisitions Compliance Managers to ensure assigned deals progress effectively in line with the agreed scope, internal process and transaction timetable, providing support and direction where required. • Test whether investigations are sufficiently focused, evidence has been properly reconciled, and conclusions reflect the nature, scale and materiality of each issue. • Identify where work is drifting, blocked, incomplete or becoming disproportionate, and give clear direction to move the review forward efficiently. • Ensure the transaction structure and liability profile are properly reflected in the scope, risk assessment, conclusions and recommended actions. • Promote a joined-up approach across file review and other acquisition workstreams, ensuring relevant information and emerging findings are shared, understood and considered collectively so that the overall due diligence conclusions are consistent and complete. • Review draft reports before submission to the Head of Acquisitions Compliance, ensuring they are concise, balanced, commercially relevant and close to board ready. • Ensure material actions arising from due diligence are carried forward into the appropriate pre-completion or integration action plans, with clear ownership and continued oversight through to satisfactory resolution. • Escalate material risks, delivery concerns and matters requiring senior judgement promptly, with a clear assessment and recommended next steps. • Use oversight of live deals to coach the team, improve consistency and identify practical enhancements to guidance, templates, workflows and reporting standards.

🎯 Requirements

• Qualified to QCF Level 4 or above in financial planning, regulated financial planning, compliance or an equivalent relevant professional qualification. • Good experience within financial services compliance, regulatory due diligence or a comparable regulatory risk role. • Strong knowledge of the UK wealth management and financial advice sector and the FCA framework applicable to it. • Highly organised, with the ability to maintain oversight of multiple due diligence exercises, prioritise competing demands and keep work progressing to agreed timescales. • Ability to review and constructively challenge the work of others, identifying gaps or areas requiring further investigation and providing clear direction where required. • Strong regulatory and commercial judgement, with the ability to distinguish technical weaknesses from matters presenting material client, liability, financial or transaction risk. • Able to take a broader view across a due diligence exercise, understanding how individual findings and different workstreams contribute to the overall risk assessment. • Strong report-writing and editorial skills, with the ability to turn detailed analysis into concise, evidence-based conclusions suitable for senior stakeholders. • Confident and constructive communicator, comfortable challenging colleagues and vendors appropriately and escalating material concerns where required. • Able to support and develop colleagues through practical coaching, constructive feedback and sharing good practice. • Takes ownership and is comfortable making decisions, providing direction and helping resolve issues which may otherwise delay progress.

🏖️ 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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