Compliance Officer

Compliance Officer Northfield

Location: Birmingham

Salary: Competitive

Type: Permanent

Workplace: Hybrid

This is an award winning financial planning and investment company that specialises in providing a wide range of services to private clients, corporations, HNW individuals and financial services professionals across the UK.

This company has an exciting opportunity to work alongside the Managing Director and wider SLT panel.

This role will be a vital part of the financial planning process supporting across multiple functions / stakeholders, ensuring operations are carried out correctly.

Role Responsibilities

• Keep up to date with regulatory requirements and advise senior management of any changes
• Compliance monitoring and reporting
• Checking client files for compliance
• Reporting to FCA
• Maintain the FCA directory
• Adviser training and competency

Experience Requirements

• 2 years minimum experience in an IFA compliance officer role (essential)
• Level 4 Diploma in Regulated Financial Planning with CII or LIBF, or working toward/mostly there (essential)
• Proficiency with Microsoft Office (essential)
• Strong knowledge of FCA guidelines relating to IFA firms (essential)
• Working knowledge of research and provider systems (essential)

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