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Compliance Officer IFA

Posted 6 November by Reed Insurance Ended
My client a very successful Wealth Planning firm in the Buckinghamshire area, is actively looking to recruit a skilled Office Manager/Compliance officer within their prestigious wealth planning firm.   The successful candidate will have a wealth of exposure within Compliance having worked within an IFA Compliance background.   The successful applicant must have  strong regulatory background and be able to fulfill an office manager/'Compliance role.   The client rewards talented individuals and you will be rewarded for your skills and exposure to managing the compliance side and office management within a HNA Wealth planning practice.   The package is very attractive for the candidate who ticks the regulatory boxes. 

The main duties within the role will be to ensure the regulatory and office management side is adhered to.  Carrying out file checks, overseeing the Compliance side of the business and a Strong awareness of Financial Services FCA is an essential element to this role.  

To be considered you must be able to demonstrate the following:-

- Currently working within a regulatory compliance role in Wealth Planning
- Currently carrying out office management and compliance duties within an IFA
- FCA regulatory background and ideally working towards or achieved Financial Planning Certificate

In return our client offers an excellent salary and benefits package to match your skills.  It is a great company to work for. 

Reed Specialist Recruitment Limited is an employment agency and employment business

Reference: 32888418

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