Compliance Officer - Wealth Management
Due to an increased demand in business, this growing and successful Wealth Management firm, have the newly created requirement for a Compliance Officer to join their team. This is an interesting position being that there is a great deal of variety within the position.
This role will be supporting the Compliance Director in all aspects of Wealth Management compliance including but not limited to assisting with:
- Maintaining the Training and Competence Scheme and service standards for Financial Planners and Research Analysts within the company and ensure continued adherence
- Maintain the internal file checking system to ensure compliant client files
- Maintain the CPD scheme to meet FCA standards in addition to individual needs and objectives
- Deal effectively and compliantly with client complaints received, in line with FCA guidelines and regulations
- Review and maintain compliance and compliant procedures within the company to ensure continued compliance with TCF regulations
- Ensure all meetings, enquiries and subsequent dealings with clients or product providers are conducted within a professional manner and comply with the companies procedures
- Participate in training sessions and meetings as required by the company.
- Providing and tracking management information and create quarterly compliance reports for senior management with the analysis of risks identified.
In order to be considered for this role, suitable candidates will:
- ideally be DipFS qualified or close to achieving this
- have the desire to progress with their professional qualifications
- be educated to degree level
- will have experience either as a paraplanner looking for their first step into compliance or already experienced within this field
Apply today for further information!