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Compliance Officer - Financial Services

Compliance Officer - Financial Services

Astral Recruitment

Posted 5 days ago, valid for 7 days

Horsham, West Sussex RH13 0NE, England

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 for a full-time permanent role.
The position involves supporting a team of Advisers, reviewing client files for compliance with regulatory and company standards, and identifying any breaches or misconduct.
Candidates should have compliance experience from an IFA firm and preferably hold a Level 4 Diploma qualification.
The role also includes providing feedback and preparing action plans following audits, as well as conducting risk evaluations.
The salary for this position is competitive, reflecting the experience required, which is a minimum of three years in a compliance role.

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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