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Compliance Officer

Posted about 1 year ago

  • Sector: Compliance
  • Contact: Paul Clayton
  • Contact Email:
  • Contact Phone: 0161 883 2753
  • Expiry Date: 17 April 2023
  • Job Ref: PC/10099

Job Description: I'm working with an award winning and expanding IFA practice who are looking to strengthen the Compliance Supervision and Advice Review functions. This is a great next stage opportunity not commonly offered, and would perhaps suit a skilled Paraplanner operating in the Independent Financial Advice market, who is wanting to go beyond and develop their knowledge & career further by expanding into the area of Compliance.


The role will involve assisting the existing Compliance Manager with general tasks such as;

Making FCA (Gabriel) returns

Helping conduct adviser T&C meetings.

Researching and setting the firm's central investment proposition

Scoping advice cases (and helping spot business opportunity) with IFAs

Delivering in-house advice training to colleagues

Checking files and reviewing Suitability Reports.

Key Requirements:

CII Level 4 Diploma in Financial Planning, or equivalent

Have a well rounded and good technical knowledge of UK Financial Advice & Products


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.

If you would like this job advertisement in an alternative format, please contact MERJE directly.