[Hiring] Senior Acquisitions Compliance Manager @Perspective Financial Group

Role Description

Reporting directly to the Head of Acquisitions Compliance, the Senior Acquisitions Compliance Manager will be accountable for the oversight and effective delivery of a portfolio of concurrent regulatory due diligence exercises.

• The role will provide a second line of review, challenge and management across active deals.
• Ensures each review remains appropriately scoped, progresses to plan, addresses the most material risks and produces clear, evidence-based conclusions requiring minimal substantive rework before senior management and Board consideration.

Qualifications

• 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.

Requirements

• 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.

Company Description

Perspective Financial Group are proud to be the UK’s best client-centric financial planning firm for both our clients and our staff. Founded in 2008, we have now grown to over 70 local offices nationwide, employing over 950 people including more than 270 highly qualified financial planners and paraplanners.

• The qualities we look for in people who wish to join us include sharing our client-centric approach, having the focus and drive required to produce excellent results, and having a passion for learning and development.
• Our Purpose, Vision and Values are at the core of what we do.