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Compliance Officer

Closing date
28 Jan 2022

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Contract Type
Full Time
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A highly reputable IFA firm are currently seeking an experienced Compliance File Checker.

Your main duty is to assist the Compliance Director and Operations Manager to ensure that the firm complies with the rules & regulations as laid down by the FCA whilst also paying due regard to Company policies and procedures by carrying out a series of regular checks on documentation and files as required.

To be aware of and implement the principles of "Treating Customers Fairly (TCF)" at all times.

Candidate requirements;

An administration, compliance or quality review background gained in Financial Services Advice Knowledge of pensions and investment cases

High attention to detail and accuracy

An understanding of FCA regulation

You will be analytical, insightful be an effective communicator with an ability to deal with people at all levels
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