Compliance Officer - REMOTE BASED

Our client is a successful financial planning business who are looking for a remote based Compliance Officer to join the team. This role will play an important role in ensuring compliance with relevant legislation and procedures.

The successful candidate will be expected to:

• Assisting the Head of Compliance to implement and review strategic business plans for the Compliance function to contribute to the overall compliant operations of the firm
• Assisting with compliance induction for new staff
• Providing guidance and support to advisers and support staff
• Providing feedback to advisers and support teams on new business and ongoing review file checks and ensuring any remedial action required is completed
• Providing support in monitoring effective systems and controls to counter money laundering or financial crime risks
• Maintaining accurate, up to date and detailed compliance records and registers
• Up-dating policies and procedures as and when required
• Contribute to the effectiveness of the Group through delivering coaching and training sessions as required.
• Preparing governance packs/ board packs as required
• Assisting in MI preparance
• Assisting in T & D support

The successful candidate will have:

• Level 4 CII Diploma in Regulated Financial Planning or equivalent relevant qualification
• 3+ years minimum relevant IFA Compliance experience, including experience of internal file reviews of new business and annual client reviews, complaints handling
• A good understanding and knowledge of relevant FCA rules