Compliance Officer - Wealth Management

Drew Chapman Search and Selection
Central London, London
15 Jun 2017
15 Jul 2017
Contract Type
Full Time

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!