Senior Compliance Officer

Our client, an award winning independent financial advice firm are looking for a Compliance Officer to join the team on a 12-month fixed term basis.

As Compliance Officer you will assist the Head of Compliance inin all aspects of the compliance regime, including:

Role Responsibilities:

• Auditing New Business Submission files, subject to Risk Rating of the Advisers. Providing reports and ensuring any remedial work is completed within a reasonable time scale
• Providing the Advisers with pre-submission support on file content and pre-sale checking after induction to ensure they meet standards of the regulatory regime and in compliance with the firm’s policies and procedures
• Chasing of all Remedial Work for completed file audits, updating and maintaining all adviser records as required
• Checking all marketing material to ensure they are fair, clear and not misleading and requesting changes where necessary and logging approved material
• Ensuring the Firm’s Compliance Monitoring Plan is adhered to on a monthly basis
• Monthly Reports on Compliance activity to the Company Directors for the Board Meeting
• Monitoring the Compliance Email Inbox, providing information and follow-up where appropriate, or allocating to the appropriate team member for their personal attention
• Ensuring all necessary measures and paperwork have been completed to satisfy FCA requirements

Key Skills & Experience:

• Previous experience in regulatory / compliance role.
• Interest in regulation
• Experience in a similar (compliance) role gained within the Financial Services Industry, preferably in the Financial Adviser sector.
• Industry qualifications desirable but not essential e.g. CII Diploma in Regulated Financial Planning or another Accredited Body qualification
• Attention to detail with an understanding of internal control and management information systems.
• Ability to build and maintain relationships at all levels of the business to drive change and deliver “continuous improvement”.
• A high standard of communication skills including formal report writing.
• High level of IT literacy and Microsoft Office packages in particular Excel.

Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately, your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.

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