Compliance Officer

As a Compliance Officer, the work centres on advising senior management of any changes. It would suit someone who can bring careful technical judgement and practical problem-solving to the role.

Known job details

• Pay: £45,000 - £55,000
• Salary £45000 - £55000 Type.
• Permanent Workplace.
• Be a vital part of the financial planning process supporting across multiple functions.
• Stakeholders, ensuring operations are carried out correctly.

Likely focus of the role

• Advise senior management of any changes.
• · Keep up to date with regulatory requirements.
• · Compliance monitoring and reporting.

Requirements mentioned

• · Level 4 Diploma in Regulated Financial Planning with CII or LIBF, or working toward/mostly there (essential).
• · Strong knowledge of FCA guidelines relating to IFA firms (essential).
• · Working knowledge of research and provider systems (essential).