Senior Compliance Officer
Manchester
c.£60,000 + Benefits
We're working with a well-established and growing IFA firm based in Manchester that is genuinely committed to developing its people. As part of continued growth, they're looking to appoint a Senior Compliance Officer to support the Compliance Director,
Role & Responsibilities:
File checking to check suitability of advice
Call checking to check suitability of advice
Assessing vulnerability characteristics and support needed
Delivering feedback to advisers, paraplanners and Compliance Director
Liaising with Compliance Director on individual cases as well as assisting them in developing, implementing and monitoring compliance policies and procedures
When required speaking with clients via telephone or email to discuss and resolve issues before they are escalated to Compliance Director when appropriate.
Providing support to departments across the business for ad-hoc queries
Ensuring adherence to regulations, legislation and internal policies
Do you have the following to apply?
3+ years Compliance experience within an IFA/Wealth Management firm
Level 4 Diploma in Financial Planning (or equivalent)
Due to the high volume of applications received we are unable to respond to everyone directly. If you are not contacted within 7 working days, you have unfortunately not been shortlisted.
Clayton Davies is acting as an employment agency on behalf of our client.