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Client Relationship Manager (Financial Services)

35,000 - 40,000 + Hybrid (2 Days at Home) + Pension + 34 Days Holiday + Bonus + Training

Edgbaston

Are you a Financial Services professional with experience in wealth management looking to join a tight knit Financial Services company known for looking after their staff which will offer you support in acquiring further qualifications, excellent bonus schemes and 34 days holiday?

On offer is the opportunity to join a client focused financial advisers who pride themselves on their bespoke approach to financial advice. They are going through a period of organic growth and are looking for a paraplanner to bolster their team.

Your role will involve managing the account of 30-40 clients offering them updates and being a first point of contact. You will conduct early-stage research and general admin.

This role would suit someone with experience in a wealth management company looking to join a tight knit business that will offer you a hybrid role with a generous bonus, 34 days holiday and the opportunity to become a technical expert.

The Role

* Managing 30-40 clients
* Early-stage research
* General admin
* Hybrid 2 days at home 3 in office
* 8:45-17:00 Monday to Friday

The Person

* Experience working in a wealth management company
* Looking for stability
* Looking to join a growing company

Reference number: 22282

Key words: Paraplanner, finance, consultant, dentists, clients, planning.

If you are interested in this role, click 'apply now' to forward an up-to-date copy of your CV.

We are an equal opportunities employer and welcome applications from all suitable candidates. The salary advertised is a guideline for this position. The offered renumeration will be dependent on the extent of your experience, qualifications, and skill set.

Ernest Gordon Recruitment Limited acts as an employment agency for permanent recruitment and employment business for the supply of temporary workers. By applying for this job, you accept the T&C's, Privacy Policy and Disclaimers which can be found at our website.

• Develop, implement, and maintain robust compliance policies and procedures in line with current and upcoming financial regulations.
• Conduct regular compliance risk assessments and develop mitigation strategies.
• Monitor regulatory developments and assess their impact on the business.
• Provide expert advice and guidance to business units on compliance matters.
• Oversee and manage regulatory reporting requirements.
• Conduct internal investigations into potential compliance breaches.
• Develop and deliver compliance training programs to staff.
• Liaise with regulatory bodies and external auditors.
• Ensure adherence to Anti-Money Laundering (AML) and Know Your Customer (KYC) regulations.
• Maintain up-to-date knowledge of financial crime risks and prevention measures.

• University degree in Law, Finance, Business, or a related field.
• A minimum of 5 years of experience in a compliance or regulatory role within the financial services sector.
• In-depth knowledge of UK financial services regulations (e.g., FCA Handbook, PRA Rulebook).
• Strong understanding of AML, KYC, and financial crime prevention frameworks.
• Proven experience in risk assessment, policy development, and internal controls.
• Excellent analytical, problem-solving, and investigative skills.
• Strong written and verbal communication skills, with the ability to articulate complex issues clearly.
• Professional certifications (e.g., ICA Diploma) are highly desirable.
• Ability to work independently and manage multiple priorities effectively.
• High level of integrity and attention to detail.

• Lead the planning, execution, and successful delivery of large-scale projects within the financial services domain.
• Define project scope, objectives, deliverables, and success criteria in collaboration with senior stakeholders.
• Develop detailed project plans, including timelines, resource allocation, and budget management.
• Identify, assess, and manage project risks and issues proactively.
• Effectively manage project stakeholders, ensuring clear communication and managing expectations.
• Lead and motivate cross-functional project teams, fostering a collaborative and high-performance environment.
• Ensure adherence to project management best practices and methodologies (e.g., Agile, Waterfall).
• Oversee the procurement and management of third-party vendors and suppliers.
• Monitor project progress, track key performance indicators (KPIs), and provide regular status reports.
• Facilitate project reviews and post-implementation evaluations to capture lessons learned.
• Ensure all projects comply with regulatory requirements and internal policies.

• Develop, implement, and manage comprehensive compliance policies and procedures across the organization.
• Conduct regular risk assessments to identify and mitigate potential compliance vulnerabilities.
• Monitor regulatory changes and ensure the company's policies and practices remain up-to-date and compliant.
• Investigate potential compliance breaches, suspicious activities, and regulatory inquiries, recommending appropriate actions.
• Design and deliver effective compliance training programs for employees at all levels.
• Advise senior management and business units on compliance-related issues and best practices.
• Liaise with regulatory bodies (e.g., FCA, PRA) on behalf of the company.
• Prepare and submit regulatory filings and reports accurately and on time.
• Maintain up-to-date records of compliance activities, training, and investigations.
• Conduct internal audits and reviews to ensure adherence to policies and procedures.
• Contribute to the development and enhancement of the company's overall risk management framework.
• Foster a strong culture of compliance throughout the organization.

• Law degree (LLB or equivalent) or a relevant professional qualification (e.g., compliance, risk management).
• Minimum of 7 years of experience in a corporate compliance, legal, or regulatory role within the financial services sector.
• In-depth knowledge of relevant financial regulations (e.g., MiFID II, GDPR, AML, KYC, ABC).
• Proven experience in risk assessment, policy development, and compliance monitoring.
• Excellent analytical, problem-solving, and critical thinking skills.
• Strong written and verbal communication skills, with the ability to present complex information clearly.
• Experience in conducting internal investigations and liaising with regulators.
• High level of integrity, professionalism, and ethical conduct.
• Ability to work effectively under pressure and manage multiple priorities.
• Proficiency in compliance management software and MS Office Suite.
• Experience in managing or mentoring junior compliance staff is a plus.

• Plan and execute financial, operational, and compliance audits in accordance with the annual audit plan and professional auditing standards.
• Assess the design and effectiveness of internal controls over financial reporting and operational processes.
• Identify and document control deficiencies, assess their potential impact, and develop practical recommendations for remediation.
• Conduct detailed testing of financial transactions and supporting documentation.
• Review compliance with relevant laws, regulations, and company policies.
• Prepare clear, concise, and accurate audit reports for management and the Audit Committee.
• Communicate audit findings and recommendations effectively to auditees and senior management.
• Follow up on the implementation of agreed-upon management actions to ensure timely and effective closure.
• Assist external auditors as needed.
• Stay current with industry best practices, regulatory changes, and emerging risks in the financial services sector.
• Contribute to the ongoing development and improvement of the internal audit function.

• Bachelor's degree in Accounting, Finance, or a related field. Professional qualification such as ACA, ACCA, CIA, or CISA is highly desirable.
• Minimum of 5 years of experience in internal or external audit, with a significant focus on the financial services industry.
• Strong understanding of accounting principles (GAAP/IFRS), internal control frameworks (e.g., COSO), and auditing standards.
• Experience with risk assessment methodologies and control testing techniques.
• Proficiency in audit software and data analysis tools is a plus.
• Excellent analytical, critical thinking, and problem-solving skills.
• Strong written and verbal communication skills, with the ability to articulate complex issues clearly.
• High level of integrity, professionalism, and attention to detail.
• Ability to work independently and collaboratively in a team environment.
• Experience managing audit engagements or mentoring junior auditors is advantageous.

• Plan and lead internal audit engagements across various departments, including banking, investments, and insurance.
• Assess risks and develop audit programs to address key financial, operational, and compliance risks.
• Execute audit procedures, including testing of internal controls, transaction testing, and data analysis.
• Evaluate the adequacy and effectiveness of internal control systems and recommend improvements.
• Identify control deficiencies, operational inefficiencies, and areas of non-compliance.
• Prepare clear, concise, and accurate audit reports detailing findings, risks, and recommendations.
• Communicate audit results to management and business unit leaders, discussing findings and action plans.
• Follow up on the implementation of audit recommendations to ensure timely and effective remediation.
• Stay current with financial industry regulations, emerging risks, and audit best practices.
• Mentor and guide junior members of the audit team.

• Professional qualification such as ACA, ACCA, or CIA.
• Minimum of 5 years of experience in internal audit, external audit, or risk management within the financial services sector.
• Strong knowledge of financial services products, operations, and regulatory requirements (e.g., FCA, PRA).
• Proficiency in audit methodologies, risk assessment techniques, and internal control frameworks (e.g., COSO).
• Excellent analytical, problem-solving, and critical thinking skills.
• Strong written and verbal communication skills, with the ability to articulate complex issues effectively.
• Experience in data analytics tools and techniques is a plus.
• Ability to manage multiple audit projects simultaneously and meet deadlines.
• Proven leadership potential and the ability to work effectively within a team.

• Lead complex client engagements, guiding financial institutions through strategic transformations.
• Develop and implement innovative strategies for areas such as digital transformation, market entry, M&A, and operational efficiency.
• Conduct in-depth market analysis, competitive intelligence, and financial modelling to support strategic recommendations.
• Build and maintain strong relationships with senior client stakeholders, acting as a trusted advisor.
• Manage project teams, ensuring high-quality deliverables and client satisfaction.
• Identify new business opportunities and contribute to the development of proposals.
• Mentor and develop junior consultants, fostering their growth and expertise.
• Stay abreast of emerging trends, technologies, and regulatory changes impacting the financial services sector.
• Present findings and recommendations clearly and persuasively to executive audiences.
• Drive thought leadership within the financial services practice.