Compliance Officer

We’re exclusively partnered with a leading Financial Advice firm that has been expanding significantly across the UK, in their search for a Compliance Officer on a permanent basis.

The main purpose of the Compliance Officer role is to provide compliance support across the firm ensuring robust and commercial adherence to governance bodies and regulators.

*Please note travel to the Greater Manchester office is required 3-4 times a week as part of the working arrangement.*

Key Responsibilities:

• To review the suitability and quality of advice provided by their consultants to the clients and to ensure that any identified areas of concern or development needs are properly addressed.
• This will include assessment of the accuracy, completeness and suitability of cases including any for which additional qualifications may be required, for each of their consultants to ensure that they remain fully compliant with regulatory guidance, rules and they have adhered to the firms Procedures.
• To assist in reviewing Financial Promotions, client agreements, disclosure documents, website content.
• T&C supervision and CPD support and monitoring.
• Recording of all relevant data to support the monitoring, systems and controls.
• To carry out regulatory reviews that may arise or deal with other relevant projects within the firm for the Management team.
• To support in handling the investigation of complaints and the drafting of Final Response letters.
• To oversee all aspects of Data Protection within the firm.

Key Requirements:

• Previous experience of compliance file checking and complaints handling is very important.
• Level 4 Diploma in Financial Planning
• Sound knowledge of the UK regulatory framework and understanding of regulatory risks relevant to the key tasks covered by the role.
• Experience of managing multiple projects.
• Ability to communicate effectively with a wide range of people including legal representatives.
• Ability to prioritise and manage own workload.
• Ability to communicate effectively both orally and in writing.
• Good knowledge of all the high-level standards expected by the FCA in particular

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. If you would like this job advertisement in an alternative format, please contact MERJE directly.