Compliance Officer - IFA

Recruiter
MERJE Ltd
Location
London
Salary
45000.0000
Posted
02 Feb 2017
Closes
02 Mar 2017
Contract Type
Permanent
Hours
Full Time

The Client-

A top tier Financial Services organisation are seeking a Generalist Compliance Officer to work closely with the Associate Director in overseeing the Compliance function for the firm’s considerable Accounting and Financial Planning division.

The role-

Reporting into the Associate Director, you will play a generalist role managing the day to day activities of the Compliance team, your duties including:

  • Assisting with the monitoring of the suitability of advice given by the firm’s IFA division
  • Checking Money Laundering verification documents
  • Providing advice to firms’ IFA arm regarding AML requirements
  • Producing written Monitoring reports
  • Reviewing and approving Financial Promotions
  • Producing MI and trend analysis
  • Keeping up to date with Regulations applicable to the role including FCA and ICAEW

Key Requirements-

The ideal candidate will have:

  • Solid Compliance experience gained within the IFA or Retail Financial Services space
  • Excellent knowledge of the relevant FCA and ICAEW rules governing this space
  • Significant AML and/or Compliance Monitoring experience
  • Experience in report writing
  • Excellent interpersonal, communication and influencing skills