My Client is a leading Chartered Financial Planning and Accountancy Firm in the South West. They have enjoyed many year’s success and growth. They are actively seeking a proactive and motivated compliance professional to supervise the regulatory issues within the firm.
The compliance supervisor will work closely with the Compliance Director to ensure that regulatory obligations are met and to deal with any issues that may arise. You will be responsible for tasks, such as;
- File assessments,
- Pre-approving risks,
- TCF principles,
- Dealing with Complaints,
- Staff training,
- Money laundering procedures,
- Monitoring compliance budget,
- T&C schemes.
To be able to hit the ground running in this position, you will be expected to have a good knowledge of financial services and the market, with the level 4 financial qualification, have experience of formulating and establishing policy and be able to work and deliver to strict deadlines. It will be preferable that you have worked in compliance before.
On a personal level, you will be a strong communicator who acts with tact and diplomacy, have good analytical and numerical skills and be capable of working in a pressured environment.
If you would like to hear more about this role or any other roles we may have available please contact Louise Bibb at Recruit UK on 01179-450-450.