Compliance Officer

08 Feb 2017
08 Mar 2017
Contract Type
Full Time

Our client is a well-respected financial services organisation looking for a Compliance Officer to support the CF10/CF11 in management of the firm’s compliance function.

The role-

  • Carrying out file checks and managing cases submitted to our third-party compliance services provider;
  • Providing training to all levels of staff on compliance, anti-money laundering and data protection topics;
  • Act as a deputy to the CF10 in providing compliance input to senior management in the development of the firm’s processes and propositions;
  • Help the CF10 draft amendments or new sections of the compliance manual and company policies;
  • Acting as the principal point of contact on compliance queries for all staff and responsibility for ensuring that all compliance and regulatory changes are properly communicated to staff;
  • Dealing with all stationary, marketing and advertising approvals;
  • Assisting with Gabriel reporting;
  • In line with the firm’s compliance manual, carrying out annual fitness and propriety checks on all advisers and directors as well as for new staff;

Key Requirements-

  • At least 3 years working in an IFA or network in either a compliance or a technical paraplanning role;
  • A good understanding of pensions (especially defined benefits), retail investments and protection. Ideally some experience of group risk and healthcare products but not essential;
  • Ideally, experience of complaints handling and file checking