Financial Planning Compliance Officer
Our client, a Chartered Financial Planning Company are currently looking for a Compliance Officer to join their team. The successful applicant will work alongside third party compliance provider Full or Part Time.
The role will include:
Assist in executing the Compliance Monitoring Program to ensure the overall program is fully implemented.
Assist in maintaining and monitoring all Compliance policies, procedures, disclosures and forms.
Monitor, audit and review new and existing business.
Assist in the creation of Management information reports.
Maintain the Approved Persons / T&C program and registers.
Research, recommendations and implementation changes to policy, procedure, forms and disclosures.
Experience: Ideally Level 4 qualified or working towards Level 4 qualification.
Experience from within a financial advisory firm consultancy role.
Have demonstrable experience of translating regulatory requirements, alongside knowledge of regulatory and governing bodies.
Excellent analytical and interpretive skills.
Tenacity, drive and a "can do" attitude, with a methodical approach with attention to detail.
The ability to fault find and make recommendations to remedy
A proactive approach to fault find.
To be confident to influence and negotiate with others.
To be computer literate with a practical grasp of technical issues and have the ability to deliver high-quality work to deadline in an accurate manner.
To be considered for this role, apply now!