Compliance Officer

Job Ref

90378

Location

Birmingham

Salary

£45,000 - £55,000 Per Annum

Employment Type

Permanent

Job Summary

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

Compliance Officer – Northfield/South Birmingham – up to £55,000

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)

Benefits

• Aviva PMI and Bupa cashplan
• 28 days holiday (including bank holidays) increases by 1 per year of service
• Auto-enrolment pension
• Bonus – based on file checking – potentially £500 a quarter (once passed probation after 6 months)
• Christmas bonus in addition (discretionary)
• Flexible Hybrid working
• Exam support

Application Process

Apply today to be considered for this Advice Quality Manager opportunity. If suitable, one of our specialist consultants will be in contact to discuss the opportunity with you in detail prior to submitting your CV to the client. In this discussion we will aim to identify your specific skills and motivations, and where appropriate recommend other relevant opportunities to you that match your requirements.

Additionally, refer a friend or colleague to us and receive £200 in vouchers if we assist them in securing a new career.

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