Compliance Officer

FM Top Jobs
£25000 - £30000/annum
17 Jun 2017
17 Jul 2017
Contract Type
Full Time
Are you an experienced IFA compliance officer looking to join a leading independent financial planning and discretionary wealth management firm?

The Company
Founded in 2001, this leading independent, directly authorised wealth management firm has become one of the most successful Wealth Managers through organic growth and from acquisitions with invested assets in excess of £700 million under administration. The larger group is AIM listed and currently has over 80 Financial Advisers with in excess of £3bn of AUI. They are looking to urgently recruit a Compliance Officer to join their team.

Roles and Responsibilities
Your main responsibility in this role as part of a team of 5 Compliance Officers working from their head office and within a much wider team nationally, would be completing the regulatory file checking for 80+ Financial Advisors and providing the pre and post-sale approval. You would also assist the Head of Compliance with the implementation of compliance policy and establishment of adequate in-house controls and compliance procedures. Resolving client complaints, you will be expected to communicate your investigations with third parties such as the Financial Ombudsman Service.

Requirements to consider
In order to be considered for this role you must be level 4 Diploma qualified in Financial Advice. Ideally holding G60/AF3, although not essential. Having previous experience of working within Financial Services in the Compliance or Advisory sector e.g. Financial Advisor or Paraplanner is required. Knowledge of FCA regulation is essential. Experience in regulated complaints handling would be an advantage.

Basic salary of £25,000 - £30,000 pa

20 days holiday plus bank holidays

Auto enrolment pension terms

Normal office working hours (9am – 5:30pm)

Free car parking available on site

Location: Poole