Lutine Bell are currently supporting a rapidly growing Wealth Manager looking to appoint a Compliance Officer into their 1LOD.
Responsibilities:
* Overseeing and reviewing complaints should they arise and calculating any potential redress to ensure we treat all our customers fairly.
* Overseeing in the allocation of file checks to test the quality of advice given by advisers. This would also include tracking MI on checks to help new advisers reach competent adviser status (“CAS”).
* Supporting the T&C Framework from Saltus advisers including completing the annual Fit and Proper assessments.
* Complete Financial Promotion reviews to ensure they are fair, clear and not misleading.
* Working on the policy framework to ensure policies remain current and are presented to the relevant Boards and Committees for sign off when due.
* Horizon Scanning for any new or updated regulation and assessing any potential impact on both Saltus and our clients
Requirements:
* Level 4 Diploma Qualified in Regulated Financial Planning
* Previous compliance experience in a first line capacity, including an understanding of how a three lines of defence model works.
* A sound working knowledge of the FCA Handbook.
Salary: up to £45,000 pa
Location: Southampton, Bath or London (hybrid working)