Compliance Officer
- Full-time, permanent role (37.5 hours per week)
- Hybrid working with flexible arrangements
- Salary: £45,000 – £50,000 per annum (dependent on experience and qualifications)
- Maintain up-to-date knowledge of regulatory requirements and advise senior management on changes
- Compliance monitoring and reporting
- File checking and client file reviews
- FCA reporting
- Maintaining the FCA Directory
- Adviser training and competency oversight
- FIT assessments
- Policy review and updates
- Mandatory training and CPD monitoring
- Ensuring adequate insurance cover, including PII and Cyber Security
- Complaints handling, resolution, and reporting
- Undertaking due diligence
- Self-motivated and highly organised
- Detail-oriented with strong accuracy
- Confident, decisive, and influential
- Results-focused
- Able to multitask and meet deadlines
- Strong in interpersonal skills and emotional intelligence
- A professional and effective communicator
- Minimum 2 years’ experience in an IFA Compliance Officer role
- Level 4 Diploma in Regulated Financial Planning (CII or LIBF), or working towards completion
- Strong working knowledge of FCA regulations relating to IFA firms
- Proficiency in Microsoft Office
- Working knowledge of research and provider systems
- Professional written and verbal communication skills
- Full-time, permanent role (37.5 hours per week)
- Hybrid working with flexible arrangements
- Salary: £45,000 – £50,000 per annum (dependent on experience and qualifications)
- Comprehensive employee benefits package following probation, including:
- Company pension
- Flexitime
- Health & wellbeing programme
- Private medical insurance
- Home working
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