[Hiring] Acquisitions Compliance Manager @Perspective Financial Group

Role Description

The Acquisitions Compliance Manager will lead regulatory due diligence reviews of financial advice businesses being considered for acquisition and support their subsequent regulatory onboarding and integration. This is a hands-on role involving detailed document, data and regulatory analysis.

• Identify historic and forward looking risks.
• Produce clear and commercially focused conclusions.
• Translate findings into proportionate pre-completion and integration actions.

Qualifications

• 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.
• Demonstrable analytical and investigative skills, including the ability to review complex or incomplete information.
• 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.
• 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.
• Highly organised, with the ability to manage a varied workload and maintain accurate records.
• Competent user of Microsoft Excel, with the ability to organise, filter, reconcile and interpret sizeable datasets.
• Comfortable working independently in a high growth and changing environment.

Requirements

• Experience in regulatory reporting and professional indemnity insurance.
• Ability to manage sensitive vendor or stakeholder relationships constructively.

Benefits

• Client-centric approach.
• Focus on learning and development.