Compliance Officer

Cavendish Maine
Bath, UK
14 Aug 2019
09 Sep 2019
Contract Type
Full Time
6 Month FTC

About the Company:

A national wealth manager that brings together financial planning and investment management to ensure that clients achieve their financial goals and are well protected into their retirement.

Employing specialist teams to cater to both private and corporate clients, their team are highly qualified professionals, award winning with chartered status.

Job Description:

This role will see you support a team of financial planners ensuring that the advice that they give is appropriate and complies with FCA guidelines as well as the company procedures.

Checking pre and post advice files, you'll look to ensure that not only is the advice of high quality but that the files are compliant.You'll provide constructive feedback to the advisors as and where necessary.

The role will also see you work closely with the T&C supervisors; helping to identify areas of development addressing knowledge and skills shortfalls within the Advisory team.

The file review team also assist with complaint investigations and liaise with the Financial Ombudsman Scheme.

Key Skills/Experience Required:

Previous experience in a similar role would be preferred.

The role holder will need to demonstrate technical financial knowledge and a strong understanding of regulatory guidelines.

You'll need to have the level 4 diploma in financial planning, a good understanding of the financial planning process and an ability to manage your awareness of regulatory developments and personal development.

Salary/Benefits Information:

The salary on offer is £30,000 - £40,000 dependent on qualifications and previous experience.The benefits include 25 days holiday + bank holidays (a buy and sell scheme available), Life assurance, GPP, Income Protection, PMI and Cash Plan, discounted gym membership.

Contact: Louise Sheppard

Reference: LS/22200

Candidate care:

By responding to this advert you consent to Cavendish Maine processing the personal data included within this application.

If your application is successful we will contact you to discuss the opportunity in more detail, within 48 hours of receiving your application.

Should you not hear from us within 3 working days please assume your application has been unsuccessful on this occasion. Please be advised that if unsuccessful for this role we may keep your details in our hold file, during which time you may be contacted for other suitable vacancies. If you do not want us to do this please call us to advise.

In the meantime, we would like to thank you for your interest in Cavendish Maine.

Similar jobs

Similar jobs