Compliance Officer

Posted 13 October by Dynamite Recruitment Solutions Ltd
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A well established local IFA based near Fareham, who has been running for circa 20 years and offers impartial financial advice to corporate and private clients across the UK. The office is set in a beautiful area and the offices are privately owned and expanding the IFA team and support teams.

We are currently recruiting for a Compliance officer to work closely with the office manager and IFA's to assist the following duties and be the main point of contact for Compliance.

The duties are:
Compliance Audit
One to Ones
KPI's
New adviser training and help with recruitment
Paraplanner training and all admin staff to ensure competancy
Complaints
Pre Sale File checking
Post Sale File Checking
Remedial Work
Updating Compliance Manual
Updating and reviewing all processes
Ensuring all literature is up to date
Main Compliance Contact
Compliance Training to all staff
FCA Reporting
For this role we would be expecting the right person to have a background within Compliance within an IFA environment, however this is not essential, but as a minimum you will need Pension and Investment knowledge ideally in Pre / Post Sales aspect along with the Level 4 Diploma in ( Dip PFS ) Please contact the Dynamite Financial Services Team to apply ...

Dynamite Recruitment Solutions Ltd is acting as an Employment Agency in relation to this vacancy.

Required skills

  • Compliance
  • Financial Services
  • IFA Pensions

Reference: 36355047

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