Compliance Officer

IDEX Consulting Ltd
14 Apr 2018
17 May 2018
Contract Type
Full Time

My client is a rapidly growing top 100 firm of Chartered Financial Planners in Henley-in-Arden. Currently looking to recruit a Compliance Officer to work alongside the Head of Compliance

Our business is mainly concerned with wealth management and manage over £400M in assets for clients. Writing the usual mix of investment business (OEICs, ISA, investment bonds, offshore bonds, AIM, VCT, EIS) pensions, however, account for 70% of our overall mix and with a lot of DB transfers, SIPP business and personal pensions.

The Compliance Officer will complement the outsourced consultancy that they currently use. They will be involved in the following:

  • File checking
  • KPI's for Advisers and administration staff
  • Ensuring systems and controls are up to date and robust
  • Ensuring that the Advisers follow the systems and controls
  • Keep up to date with FCA requirements and changes
  • Manage complaints process
  • Involve themselves in the implementation of MIIFID 2 and GDPR
  • Organise training sessions for Advisers and possibly present new systems and rules to Advisers

The successful candidate will have a compliance background, having Level 4 would be an advantage but not essential. Candidates with a paraplanning background who are compliance minded would be suitable

Please visit the IDEX Consulting Ltd website for further opportunities. If your application is successful we will contact you to discuss the opportunity in more detail within 2 working days of receiving your application. If your application is unsuccessful, the information supplied may still be retained for use in connection with future vacancies. Due to the overwhelming application response we receive through various sources, should you not hear from us within one week then please assume your application has been unsuccessful.

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