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Compliance Officer

Recruit Wealth have been retained exclusively by one of our top tier clients to seek an accomplished and highly experienced Compliance Officer to join their well-established Hertfordshire based practice.

A genuinely exciting role to become a pivotal member of the senior team, to be instrumental in delivering exemplary levels of service and advice to existing clients.

This role will see you manage all aspects of compliance and ensure all regulated advice is signed off whilst aiding in further T&C to the Advisory team.

All duties are listed below:

Data & Compliance

  • Ensure Data protection policies are adhered to as Data Protection Officer
  • Platform due diligence completed annually and documented
  • Point of contact for all complaints
  • Ensure quality of advice maintained & monitored
  • Review & sign off all financial promotions
  • Manage FCA permissions are appropriate and kept up to date
  • Monthly Compliance meeting senior team
  • Provide evidence to support compliance for SMF16 & SMF17 functions
  • Manage a Breach log - identify &, if necessary, report breaches to the FCA
  • Manage the Risk Register
  • Assist with completion of Reg Data return & ad-hoc FCA surveys
  • Maintain & improve compliant processes & documents
  • Discuss, scope & research new products & projects for the organisation in line with FCA regulations

Staff

  • Produce adviser Conduct metrics (KPIs)
  • Define & monitor adviser development plans
  • Carry out observed meetings/role plays
  • Regular File reviews with feedback given
  • Assist with Adviser recruitment

Training

  • Set up & run T&C scheme
  • Ensure all staff have and pass the relevant annual testing
  • Discuss exams and development with any staff concerned
  • Onboarding and certification of all new staff
  • Recertification of all advising staff

Skills, Knowledge and Experience

  • Experienced in providing constructive feedback
  • Holistic view of compliance to provide controls to allow business progress
  • Qualified to Diploma in Financial Services
  • Highly organised
  • Computer literate with knowledge of Intelligent office essential and Microsoft office packages.
  • Polite and courteous
  • Energy, enthusiasm and drive
  • Honest and ethical approach to business
  • Good people skills
  • Leadership qualities
  • Focused and driven to achieve goals
  • Good negotiation skills
  • IFA compliance knowledge

This is a vital role for the business to ensure the smooth running of the compliance functions. You will be seen as an integral member of staff whilst adding real value to the advice process working alongside the Financial Planners.

A very generous salary, excellent company benefits alongside a genuine collaborative and caring business is all available with this opportunity. Elements of home working and office working will remain in the post.

Our client is looking to interview immediately, if you feel the above fits your experiences and criteria for a new compliance role please get in touch with us here at Recruit Wealth.


Location: Stevenage, Hertfordshire | Salary: 75000 - 85000 per | Job type: Permanent | Posted: 01/01/0001

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