Compliance Officer

  • Location


  • Discipline:

    Compliance, Risk Management

  • Job type:


  • Salary:

    c. £40,000 + benefits

  • Consultant:


  • Email:


  • Job ref:


  • Published:

    about 1 year ago

The Compliance Officer will support the work of financial advisors by carrying out compliance duties in the Financial Services Department, interacting with advisors, capturing data, creating electronic records, producing management information and KPI data, and producing timely reports.

Key responsibilities include:


  • Carrying out file reviews, checking all documentation, reviewing adviser recommendations to clients in relation to all products
  • Monitoring AML checks
  • Liaising closely with senior management and advisors with regards to your findings
  • Preparing and reviewing business compliance KPIs
  • FCA reporting duties
  • Oversight of Introducer Agreements
  • Reviewing and signing off literature against the firms’ services and FCA Financial Promotions rules
  • Performing regular reviews and updating of financial services policies and processes in line with relevant legislation.
  • Collating the reporting and KPI requirements for advisors, creating effective communications to ensure all staff are aware of the requirements and performance to date
  • Monitoring compliance with monthly and annual accounting reporting including monthly checklist and biannual Board Reports
  • Supporting the Group Compliance Officer with the documentation of review visits and any other requirements
  • Maintaining a register of issues for consideration by firm management which highlights main risk areas in this area of compliance
  • Supporting the Management Team to develop and deliver training on key areas by the identification of generic issues or new regulations

The Person:

  • Ideally minimum Level 4 Diploma qualified
  • Strong experience in dealing with Pensions and Investments
  • Experience of developing a strong control environment within the financial services sector
  • Have a solid working knowledge of COBS, ICOBS and MCOBS.

Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.