Clifton Wealth

Clifton Wealth

With a strong focus on Individual and Corporate Wealth Management, our team has built an exceptional capability in combining business finance issues such as Employee benefits, Company pensions and Insurances with a core competency in clear financial advice and wealth management to cater for Individual requirements.

We are currently looking for a Compliance Manager

Compliance Manager logo

Closing date: 31-07-2019

Clifton Asset Management is an evolving financial service company who are seeking to add a skilled Compliance Manager to the compliance team to help develop relationships with appointed representatives.

The Compliance Manager will be responsible for ensuring that their operations are in compliance with Clifton’s governance framework, and regulatory requirements, and, crucially, our cultural values in relation to customer-focus.

Activities will include reviewing advice suitability, assessing learning and development needs, undertaking risk assessments, developing relationships, and general quality assurance.

The details of the role are as follows:


Job Responsibilities


·         Promote and instil a strong customer focus culture

·         Manage relationships with appointed representatives

·         Undertake risk assessment analysis and quality assurance checks

·         Work closely with staff to enhance their professionalism through learning and development

·         Develop systems, controls and policies

·         Collaborate with management and relevant staff to ensure awareness regarding emerging themes, trends, recommendations, etc.

·         To conduct other ad hoc projects and tasks as requested by the Group Head of Compliance

·         Promote a strong culture of compliance and customer-focus throughout the organisation


Desired Skills and Expertise


·         Minimum of 5 years’ compliance/regulatory experience

·         Excellent communicator; written, oral, listening, interpersonal, etc

·         Strong cultural values to help drive excellent customer outcomes

·         Holds (or working towards) a Level 4 Diploma qualification

·         Proven ability to build strong relationships

·         Excellent knowledge of the FCA rules, principles, best practices, etc

·         Able to work both independently and as part of a team

·         Exceptional attention to detail


Salary range: £35,000 – £45,000 (Band 8)



If you are interested in applying for the position or would like more information please contact by email Ian Scaife
or call 01275 813700 .