Compliance Officer - Financial Planning

Posted 29 January by MB Fitzgerald

A Chartered Financial Planning practice with an in house DFM are currently seeking to recruit a Compliance Officer. This vacancy will be based out of their growing offices based on the outskirts of Bath, your role will be to ensure the companies compliance department is up to a very high standard.

Your role will include but will not be limited to;

  • Providing feedback and/or guidance to Financial Planners, Paraplanners and Administrators ensuring regulatory requirements are met
  • To update compliance procedures, documents and templates as and when required.
  • To undertake compliance audit work, including regular and ad-hoc reviews of client files, suitability letters and investments reports.

The client is seeking an individual that has at least two years Compliance experience working within a Financial Planning/Wealth Management practice. You will have a strong understanding of the Financial Services sector and will ideally hold relevant market exams.

The client will provide full support for all market exams and actively support progression within the business. You will be offered a competitive basic salary plus 10%+ bonus and excellent company benefits as well as free parking.

Required skills

  • Compliance

Reference: 34341220

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