Compliance Officer

Search Consultancy
08 Feb 2017
08 Mar 2017
Contract Type
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

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