Compliance Specialist - part time, 1 day per week
Leamington Spa (our ref AL802)
Salary c£40,000 per annum pro rata
My client is an established and well regarded IFA organisation, and they now have an exciting new vacancy for an experienced Compliance Specialist to join their existing team.
The successful candidate should be an experienced financial services compliance and regulations professional. The role will be reporting to the compliance oversight officer and is to ensure all compliance matters are dealt with in a timely manner.
Key areas of responsibility:
- Ensuring all GDPR requirements are adhered to
- Ensuring the company is MiFID II compliant
- Ensuring T&C is carried out and completed for 4 IFA’s and 1 mortgage adviser
- Ensuring all procedures and processes are kept up to date
- Staff training / testing
- Spot check file reviews
- Keeping up to date with current compliance changes within the industry
If this role is of interest and you have worked in a similar compliance role within a wealth management organisation previously, then please apply in confidence with an up to date CV or call Angela Liscombe at North Oak Recruitment for a confidential discussion.
- Financial Services
- Wealth Management
- Compliance Procedures
- Core Competences