Our client, an award-winning independent financial advice firm, is looking for a Compliance Officer to join the team on a permanent basis.
As Compliance Officer, you will assist the Compliance Manager in ensuring that the firm remains abreast of regulatory change and risks. You will do this by undertaking pre and post-sale file checks, as well as completeness checks on new business cases. You will act as a supervisor to both trainee advisers, as they work to achieve Competent Adviser Status (CAS), and existing competent advisers.
Role Responsibilities: Assist the Compliance Manager in completing any actions arising from the firm’s Business Diary and Compliance Monitoring Programme. Assist the Compliance Manager with the firm’s Complaints Handling process. Keep abreast of regulatory changes and assist the Compliance Manager with preparation for meetings with the Board and General Manager. Undertake any actions arising from the meetings as directed. Gather the MI required for the firm's internal and external reporting. Ensure the team’s compliance with the Financial Services and Markets Act 2000 and the relevant FCA rules at all times. Ensure the team’s compliance with TCF, SMCR, T&C, and financial crime (anti-money laundering, data security, anti-bribery, fraud, and corruption) procedures of the firm at all times. Challenge or report, where appropriate, the advice provided by advisers. Assist in the compliance team’s check of the new business done each month and identify any trends that present a risk to the firm. Assist in post-sale review of at least 10% of completed cases each month. Assist in pre-sale reviews where the criterion for pre-approval is met and in 100% of cases for non-CAS advisers. Manage the workflow of the pre-approvals so it doesn’t negatively impact the client experience. Key Skills & Experience: 1+ years compliance experience within an independent financial planning firm or 2+ years in an IFA related role. Diploma qualified (Level 4) preferred with additional qualification in other advice areas a plus. Knowledge of FCA requirements in relation to financial advice. Excellent organisation, time management, and communication skills. Good attention to detail. Proactive nature with the ability to work on own initiative. Excellent interpersonal, listening, numerical, and IT skills. Personable, friendly manner and the ability to build good working relationships with advisers and the rest of the firm. High level of organisational, IT, and analytical skills. Good written and oral communication skills, ensuring that communication is appropriate to the audience and outcome required. Ensure a team approach is maintained in a professional manner with an energetic and enthusiastic approach to problem-solving.
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Role Responsibilities: Assist the Compliance Manager in completing any actions arising from the firm’s Business Diary and Compliance Monitoring Programme. Assist the Compliance Manager with the firm’s Complaints Handling process. Keep abreast of regulatory changes and assist the Compliance Manager with preparation for meetings with the Board and General Manager. Undertake any actions arising from the meetings as directed. Gather the MI required for the firm's internal and external reporting. Ensure the team’s compliance with the Financial Services and Markets Act 2000 and the relevant FCA rules at all times. Ensure the team’s compliance with TCF, SMCR, T&C, and financial crime (anti-money laundering, data security, anti-bribery, fraud, and corruption) procedures of the firm at all times. Challenge or report, where appropriate, the advice provided by advisers. Assist in the compliance team’s check of the new business done each month and identify any trends that present a risk to the firm. Assist in post-sale review of at least 10% of completed cases each month. Assist in pre-sale reviews where the criterion for pre-approval is met and in 100% of cases for non-CAS advisers. Manage the workflow of the pre-approvals so it doesn’t negatively impact the client experience. Key Skills & Experience: 1+ years compliance experience within an independent financial planning firm or 2+ years in an IFA related role. Diploma qualified (Level 4) preferred with additional qualification in other advice areas a plus. Knowledge of FCA requirements in relation to financial advice. Excellent organisation, time management, and communication skills. Good attention to detail. Proactive nature with the ability to work on own initiative. Excellent interpersonal, listening, numerical, and IT skills. Personable, friendly manner and the ability to build good working relationships with advisers and the rest of the firm. High level of organisational, IT, and analytical skills. Good written and oral communication skills, ensuring that communication is appropriate to the audience and outcome required. Ensure a team approach is maintained in a professional manner with an energetic and enthusiastic approach to problem-solving.
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