Compliance Officer

Compliance onboarding officer
Hybrid working
Cardiff

This role is best suited to those with a compliance background within financial services and has an eye for detail and wants to work closely with advisers to shape the client experience.

It’s a great opportunity for someone who’s confident working in a compliance-led environment and wants to take ownership of the onboarding process. Level 4 Diploma in Financial services desirable.

The Business
The company are an FCA-regulated, growing IFA Network. They are a robust, institutionally backed, mission driven group, with a diverse, supportive, and highly experienced team at a top 100 Financial services firm who have been operating for over 20 years.

The Role
You'll be part of the onboarding team, reviewing and approving documentation, templates and Client Investment Propositions from prospective and current member firms. You’ll need to understand each adviser’s approach to planning and ensure the documentation reflects that accurately and compliantly. Your role will also involve providing feedback, liaising with internal stakeholders, and ensuring the onboarding process is as smooth and professional as possible as well as having the final, sign off decision.

The Benefits

• 25 days Holiday + Bank Holidays
• Hybrid working
• Pension scheme
• Death in service available after probation period
• SickPay
• Income Protection
• New, modern office with onsite gym

How to Apply
It’s easy - just submit your CV through the platform. If selected, you’ll be invited for an initial chat with the recruiter, followed by a meeting with the hiring team.

Synonyms

Paraplanner, Financial Advisor, Financial Planner, Financial Adviser, Compliance