Compliance Officer

My client is a very prestigious organisation and a leader in its chosen field. They are looking to recruit an individual to provide Compliance support to the group advisory businesses.

The role-

Responsibilities:

• To assist with technical compliance implementation including: analysis of areas within the business, regulatory themes and regulatory change from concept to implementation within Group subsidiary businesses in all locations as directed;
• To take lead responsibility for regulatory quality assurance in relation to the Group advisory businesses, in order to demonstrate they are operating in accordance with regulations;
• To provide support and expertise to the advisory businesses in relation to suitability of advice, and where required to contribute towards compliance review processes, projects and general business development in this area.
• To assist with the development and production of high quality, accurate and relevant management information within the Compliance technical and implementation team and the wider compliance function;
• To act as Compliance adviser on Group projects and Committees as and when required;
• To develop and deliver training courses to wider group employees on compliance related matters
• Contribute towards the delivery of a positive compliance culture within the team and wider group.
• Work with senior leadership colleagues across the business to deliver strategic and organisational objectives
• Responsible for the day to day management of a small team.

Key Requirements-

• Diploma in Financial Planning or equivalent
• Good written and communication skills
• Previous Compliance experience within Financial Services
• At least 3 years compliance experience working in the Financial Planning, IFA or Wealth Management arena