Compliance Officer

This Compliance Officer role is focused on · Compliance monitoring and reporting. It would suit someone who can bring strong professional approach to the role.

Role overview

Hybrid Ref89849 Recruiter Managing This Role Compliance Officer Northfield up to [[SALARY_1]]. Experience Requirements · 2 years minimum experience in an IFA compliance officer role (essential).

Main responsibilities

· Keep up to date with regulatory requirements and advise senior management of any changes. · Compliance monitoring and reporting. · Checking client files for compliance.

What helps someone succeed

Strong professional approach.

Requirements

• · 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).

Job details

• This role will be a vital part of the financial planning process supporting across multiple functions / stakeholders, ensuring operations are carried out correctly.
• Salary £45000 - £55000 Type.
• This is an award winning financial planning and investment company that specialises in proving a wide range of services to private clients, corporations, HNW individuals and financ.
• This company have an exciting opportunity to work alongside the Managing Director and wider SLT panel.