Our client is a successful financial planning business who are looking for a remote based Compliance Officer to join the team. This role will play an important role in ensuring compliance with relevant legislation and procedures.
The successful candidate will be expected to:
* Assisting the Head of Compliance to implement and review strategic business plans for the Compliance function to contribute to the overall compliant operations of the firm
* Assisting with compliance induction for new staff
* Providing guidance and support to advisers and support staff
* Providing feedback to advisers and support teams on new business and ongoing review file checks and ensuring any remedial action required is completed
* Providing support in monitoring effective systems and controls to counter money laundering or financial crime risks
* Maintaining accurate, up to date and detailed compliance records and registers
* Up-dating policies and procedures as and when required
* Contribute to the effectiveness of the Group through delivering coaching and training sessions as required.
* Preparing governance packs/ board packs as required
* Assisting in MI preparance
* Assisting in T & D support
The successful candidate will have:
1. Level 4 CII Diploma in Regulated Financial Planning or equivalent relevant qualification
2. 3+ years minimum relevan...