- Train and coach experienced and new IFAs on the PSA Advice process.
- Observe and provide feedback to advisers using the PSA Observation Guide.
- Support and develop trainee IFAs as required
- Check trainee advisers advice pre-sale until signed off as per the T&C Scheme.
- Supervise a team of IFAs with various experience and skills and complete 1-1’s as required.
- Summarise findings to discuss at monthly Compliance T&C meeting.
- Feedback to the compliance team if areas not meeting standards are identified.
- Any findings of non-compliance or issues that could cause client detriment need to be reported to the Senior Compliance Manager and if remedial action is required this should be carried out promptly and appropriately.
- Support the Senior Compliance Manager when required.
- Other special projects of investigation and compliance support when required.
- Comply with the Financial Services and Markets Act 2000 and the relevant FCA rules at all times.
- Comply with the relevant compliance, TCF, T&C and, financial crime (anti-money laundering, data security, anti-bribery, fraud and corruption) procedures of the company at all times.
Back to searchCompliance Officer
Medlock Partners Limited
Posted 3 days ago, valid for 7 days
Leicester, Leicestershire LE8 4HQ
£45,000 - £54,000 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
- The Compliance Officer position is based in Leicestershire with a salary of up to £35,000.
- This role requires industry-related experience and ideally candidates should be Level 4 Diploma qualified or working towards it.
- The position involves providing Training and Competence supervision to Independent Financial Advisers (IFAs) and preparing KPI results for monthly meetings.
- Responsibilities include training new and experienced IFAs, observing their practices, and reporting any non-compliance issues to the Senior Compliance Manager.
- The company offers hybrid working, fully funded staff events, and is committed to equal opportunities in recruitment.
