Home
Horsham
Policy manager
Compliance Officer - Financial Services

Compliance Officer - Financial Services

Astral Recruitment

Posted a day ago, valid for 23 days

Horsham, West Sussex RH13 0NE, England

£40,000 - £48,000 per annum

Full Time

In order to submit this application, a Reed account will be created for you. As such, in addition to applying for this job, you will be signed up to all Reed’s services as part of the process. By submitting this application, you agree to Reed’s Terms and Conditions and acknowledge that your personal data will be transferred to Reed and processed by them in accordance with their Privacy Policy.

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 is a full-time permanent role that involves supporting a team of Advisers and ensuring adherence to regulatory and company requirements.
Key responsibilities include reviewing client files, identifying breaches or misconduct, and preparing action plans following audits.
Candidates must have compliance experience from an IFA firm and ideally hold a Level 4 Dip qualification.
The position offers a competitive salary of £45,000 to £55,000 per year, with a requirement of at least 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

Apply now in a few quick clicks

Compliance Officer - Financial Services

Technical Manager

Registered Manager Residential Care

Programme Planning Manager