Our client, a leading financial planning firm, are looking for a Level 4 qualified Compliance Officer/Administrator with general compliance experience and ideally some file review and financial promotions experience.
As Compliance Officer, you will be assisting the Head of Compliance in all aspects of the compliance regime, including:
Auditing New Business Submission files, subject to Risk Rating of the Advisers. Providing reports and ensuring any remedial work is completed within a reasonable timescale. Providing the Advisers with pre-submission support on file content and pre-sale checking after induction to ensure they meet standards of the regulatory regime and in compliance with the firm's policies and procedures. Chasing all Remedial Work for completed file audits, updating and maintaining all adviser records as required. Checking all marketing material to ensure they are fair, clear and not misleading and requesting changes where necessary and logging approved material. Ensuring the Firm's Compliance Monitoring Plan is adhered to on a monthly basis. Monthly Reports on Compliance activity to the Company Directors for the Board Meeting. Monitoring the Compliance Email Inbox, providing information and follow-up where appropriate, or allocating to the appropriate team member for their personal attention. Ensuring all necessary measures and paperwork have been completed to satisfy FCA requirements. Other Ad-hoc Duties. Assisting Advisers and Appointed Representatives with general support requests with queries, projects and other business activities and enquiries that require guidance from the Compliance Team.
Key Skills & Experience:
Experience in a similar (compliance) role gained within the Financial Services Industry, preferably in the Financial Adviser/Wealth Management sector. Relevant professional qualifications, preferably including Diploma in Financial Planning. Attention to detail with an ability to analyse complex financial information and provide credible challenge to the Company's directors, managers and financial advisers. Ability to build and maintain relationships at all levels of the business to drive change and deliver the Company's aim of “continuous improvement.” A high standard of communication skills including formal report writing. Detailed knowledge of the FCA handbook. Awareness of risk management practices. High level of IT literacy and Microsoft Office packages in particular Excel.
Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately, your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.
If you would like this job advertisement in an alternative format, please contact MERJE directly. #J-18808-Ljbffr
As Compliance Officer, you will be assisting the Head of Compliance in all aspects of the compliance regime, including:
Auditing New Business Submission files, subject to Risk Rating of the Advisers. Providing reports and ensuring any remedial work is completed within a reasonable timescale. Providing the Advisers with pre-submission support on file content and pre-sale checking after induction to ensure they meet standards of the regulatory regime and in compliance with the firm's policies and procedures. Chasing all Remedial Work for completed file audits, updating and maintaining all adviser records as required. Checking all marketing material to ensure they are fair, clear and not misleading and requesting changes where necessary and logging approved material. Ensuring the Firm's Compliance Monitoring Plan is adhered to on a monthly basis. Monthly Reports on Compliance activity to the Company Directors for the Board Meeting. Monitoring the Compliance Email Inbox, providing information and follow-up where appropriate, or allocating to the appropriate team member for their personal attention. Ensuring all necessary measures and paperwork have been completed to satisfy FCA requirements. Other Ad-hoc Duties. Assisting Advisers and Appointed Representatives with general support requests with queries, projects and other business activities and enquiries that require guidance from the Compliance Team.
Key Skills & Experience:
Experience in a similar (compliance) role gained within the Financial Services Industry, preferably in the Financial Adviser/Wealth Management sector. Relevant professional qualifications, preferably including Diploma in Financial Planning. Attention to detail with an ability to analyse complex financial information and provide credible challenge to the Company's directors, managers and financial advisers. Ability to build and maintain relationships at all levels of the business to drive change and deliver the Company's aim of “continuous improvement.” A high standard of communication skills including formal report writing. Detailed knowledge of the FCA handbook. Awareness of risk management practices. High level of IT literacy and Microsoft Office packages in particular Excel.
Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately, your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.
If you would like this job advertisement in an alternative format, please contact MERJE directly. #J-18808-Ljbffr
