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Our client, a successful compliance consultancy firm, are looking for a Senior Compliance Officer to join their growing team. You will work closely with financial advisory firms and discretionary investment management firms to ensure all things are compliant.
Key Responsibilities:
- Undertake day to day client management including supportive consultancy, firm audits & file checks
- Be capable of dealing with in-depth and highly technical compliance queries
- Have a comprehensive knowledge of FCA Handbook
- Be required to read and summarise important industry papers
- MiFIDPRU Knowledge desirable
- Be able to draft internal technical papers and contribute to manual/toolkit development
- Have existing knowledge /experience of Discretionary Fund Management & Retail Financial Advisers
- Operate at client offices or from home
Experience Required:
- Be qualified in the Diploma in Financial Planning (or equivalent)
- Advanced CII Qualification(s) desirable
- Possess excellent communication and consultancy skills
