Compliance Review Officer - National Financial Advisory Firm - Surrey

Guildford, Surrey
07 Jul 2017
05 Aug 2017
Contract Type
Full Time

Compliance Review Officer - National Financial Advisory Firm - Surrey

FourthLine are currently recruiting for a Compliance Review officer with a National Financial Advisory Firm. The role will based in their offices in Surrey and the successful candidate will possess strong knowledge of financial services advisory sales process and products across Investments, Pensions, Mortgages and Protection.

Furthermore previous experience implementing and inserting improvements to practice as well as a strong understanding of suitability, TCF, the FCA handbook, and the principles for business. The candidate will eventually oversee the risk-based Compliance Audit programme and will manage and maintain the relationship between the firm and its chosen outsourcer of file reviews.

Location: Surrey

Salary: £45,000 - £50,000

Required experience:

  • Compliance: 3 - 4 years

Required license or certification:

  • Level 4 Qualified

This position is a great chance for anyone of relevance looking to build a career within Compliance as there is great opportunity for progression into a Senior position.

If this role is of interest, please send an up to date copy of your CV to the email address provided.