Compliance Officer

Recruiter
Search Consultancy
Location
Manchester
Salary
32000.0000
Posted
08 Feb 2017
Closes
08 Mar 2017
Contract Type
Permanent
Hours
Full Time

My 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;
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

Search is an equal opportunities recruiter and we welcome applications from all suitably skilled or qualified applicants, regardless of their race, sex, disability, religion/beliefs, sexual orientation or age.