Job Title

Castlegate is seeking a Compliance Manager. This role will be instrumental in ensuring the firm continues to be compliant with new regulations and guidance, including the completion of regular file checks and competence assessments. Supporting the growth of Castlegate Financial Management and the wider Duncan & Toplis Group.Have you got the right qualifications and skills for this job Find out below, and hit apply to be considered.Your responsibilitiesHere's a bit more on what you can expect to be doing day-to-day:Maintain, update, and monitor compliance standards including written policies and proceduresConduct high-risk advice checks and file-checks to ensure the firm is meeting its regulatory obligations and achieving excellent standards of complianceMonitor adherence to file review feedback, ensuring all outstanding items are completed in a timely mannerProvide technical updates and support to team members as requiredMaintain knowledge of regulatory developments and rule changes to support the firms adherence to high levels of complianceAdvise management of changes in respect of regulatory issues and any other related issuesArrange and deliver relevant training to team members with respect to regulation and complianceTrain and onboard new financial planners, including certifying competency Conduct regular competence assessments across the financial planner team Other general duties as requested from time to time commensurate with skills, experience and statusAbout youWe think youll need the following experience and qualifications to succeed in the role:Experience in a similar position within the financial services industry Must possess excellent communication, interpersonal, presentational and relationship building skills, with the ability to raise appropriate questions to the clients.Good organisational, administrative and time management skills.Must be self-disciplined and motivated with the ability to work alone and unsupervised or within a team environment when appropriate.At a minimum must hold the Diploma in Regulated Financial Planning by the CII (or equivalent) Must hold a clean UK driving licence.