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Compliance Officer

Posted 2 February by James Phillip Financial Recruitment Ended

We are looking for a compliance office to join our client who is a growing IFA practice based in Redditch.

You will be a minimum of level 4 qualified ideally with advanced exams, AF3 or G60 pension specialist exams. The role will include pre sales and post sales checks of the advisers cases and liaising with and reporting to the regulator when needed. You will report directly into the Managing Director and be responsible for delivering compliance reports to the management team.

Detailed job description:

  • check advice cases against internal & FCA requirements
  • providing pre-approvals for high risk business
  • providing paraplanning support at peak times and for high-end technical cases.

Supporting the Compliance Director with:

  • GABRIEL Returns
  • maintenance of Compliance Registers
  • risk assessments
  • updating and developing internal forms
  • running training sessions
  • reviewing research tools against balanced score card
  • wider compliance projects as directed.

As part of your role, we would also expect you to:

  • Attend FCA events and support Compliance Director with responses to FCA proposals
  • Participate in compliance and investment committees
  • Operate as part of the pension transfer specialist team
  • Provide support with Bulk Advice projects.

Salary up to 40K plus full study support and benefits.

For further details please apply in the strictest confidence.

Required skills

  • Compliance
  • Financial Planning
  • Paraplanning
  • Reporting
  • Training

Reference: 34384016

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