Compliance Officer - IFA - Liverpool

GCB Agency Recruitment
Liverpool, UK
16 Aug 2019
04 Sep 2019
Contract Type
Full Time
My client a leading IFA firm based in Liverpool is actively looking to recruit a Compliance Officer to support their growing team of Advisors. For this position, you will need to be Level 4 qualified and preferably have some background within Financial services, for example as a Paraplanner or Administrator.

Key Responsibilities:
  • Act as first point of contact for the financial planning business acting as an ambassador to promote compliance awareness and good practice in compliance and T&C throughout Financial Planning.
  • Provide advice and assistance as requested, providing compliant, pragmatic solutions
  • Assist the financial planning business to manage regulatory risk, including risk identification, assessment, mitigation and control.
  • Help implement group projects, working closely with different departments to ensure compliance with operating and compliance procedures.
  • Attend and support relevant financial planning meetings
  • Work with team members to ensure all issues identified through monitoring, complaints and changes to regulations are appropriately addressed, providing or assisting in delivery of training as necessary In conjunction with other team members, work with the central Sales, Strategy & Operations team on all financial planning standards, fact finds, suitability reports etc.
  • Support the Compliance monitoring team and your colleagues, including the wider Risk & Compliance team
  • Ensuring that any risks are effectively evaluated, managed and mitigated.

Skills and Qualifications:
  • Excellent written and verbal communication skills including the ability to influence at all levels with good judgment and decision-making skills
  • The ability to work with a good degree of autonomy, individually, and as part of a team;
  • Ability to deliver training and presentations; strong analytical and numerical skills
  • Competent using Microsoft packages such as Word, Excel and Outlook
  • Excellent knowledge of FCA Rules with ability to understand new regulation as it arises
  • Level 4 diploma qualified

Working Hours - Monday - Friday 9am - 5pm

In return for this role, my clients are looking at offering a basic salary of between £28,000 - £30,000 (Depending on experience). They also offer a yearly bonus and lots of incentives throughout the year.

GCB Agency Recruitment Ltd is acting as an Employment Agency in relation to this vacancy.

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