Compliance Officer

Our client, an award winning independent financial advice firm are looking for a Compliance Officer to join the team on a permanent basis. 

As Compliance Officer you will assist the Compliance Manager in ensuring that the firm remains abreast of regulatory change and risks to the firm. You will do this by undertaking pre and post-sale file checks as well as undertaking completeness checks on new business cases. You will act as a supervisor to both trainee advisers, as they work to achieving Competent Adviser Status (CAS), as well as the firms existing competent advisers.Role Responsibilities:

• Assist the Compliance Manager complete any actions arising from the firm’s Business Diary and Compliance Monitoring Programme
• Assist the Compliance Manager with the firm’s Complaints Handling process
• Keep abreast of regulatory change • Assist the Compliance Manager with preparation for meetings with the Board and General Manager. Undertake any actions arising from the meetings as directed.
• Gather the MI required for the firms internal and external reporting.
• Ensure team’s compliance with the Financial Services and Markets Act 2000 and the relevant FCA rules at all times
• Ensure team’s compliance with, TCF, SMCR, T&C and financial crime (anti-money laundering, data security, anti bribery, fraud and corruption) procedures of the firm at all times
• Challenge or report, where appropriate, the advice provided by advisers
• Assist in the compliance team’s check of the new business done each month and identify any trends that present a risk to the firm
• Assist in post-sale review of at least 10% of completed cases each month
• Assist in pre-sale reviews where the criterion for pre-approval is met and in 100% of cases for non-CAS advisers. Manage the workflow of the pre-approvals so it doesn’t negatively impact the client experience

Key Skills & Experience:

• 1+ years compliance experience within an independent financial planning firm or 2+ years in an IFA related role
• Diploma qualified (Level 4) preferred with additional qualification in other advice areas a plus
• Knowledge of FCA requirements in relation to financial advice
• Excellent organisation, time management and communication skills
• Good attention to detail
• Proactive nature with ability to work on own initiative
• Excellent interpersonal, listening, numerical and IT skills
• Personable, friendly manner and the ability to build good working relationships with advisers and the rest of the firm
• High level of organisational, IT and analytical skills
• Good written and oral communication skills, ensuring that communication is appropriate to the audience and outcome required
• Ensure a team approach is maintained in a professional manner with an energetic and enthusiastic approach to problem solving

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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