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Compliance Officer - Financial Services

Compliance Officer - Financial Services

Astral Recruitment

Posted 13 hours ago, valid for 16 days

Horsham, West Sussex RH13 0NE, England

£60,000 - £72,000 per annum

Full Time

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Sonic Summary

Our client, a specialist financial services company based in Horsham, is seeking an experienced Compliance Officer/Manager to join their compliance department.
This full-time permanent role involves supporting a team of Advisers and reviewing client files to ensure suitability and adherence to regulatory requirements.
The position requires identifying breaches or misconduct and reporting training or compliance failures to the Compliance Manager.
Candidates must have compliance experience from an IFA firm and ideally be Level 4 Dip qualified.
The salary for this role is competitive, and applicants should have a minimum of three years of relevant experience.

Our client is a specialist financial services company based in Horsham and they are currently looking for an experienced Compliance Officer/Manager to join the team

We have a full time permanent role in Horsham within this company working in their compliance department. supporting a team of Advisers

This is a great opportunity to join a market leading company dealing with :

Review client files to confirm suitability and good consumer outcomes and adherence to regulatory and Company requirements and identify and require remedial action from members firms where necessary.
To identify any Breaches or Misconduct by firms and individual and report any training/compliance failures to the Compliance Manager.
To provide feedback and prepare action plans for firms and individuals following any audit and to complete arisk evaluation of everyone within the firm and an overall risk assessment of the firm based upon the findings ofvany audit.
To assist in embedding a positive compliance culture across the Group

You must have compliance experience from an IFA firm and ideally be Level 4 Dip qualified

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