A highly successful and award winning chartered financial planning practice is looking for a Compliance Officer / File Checker to join its team. Reporting to the Compliance Director, the role holder will be instrumental in developing, implementing, and monitoring effective compliance frameworks and policies across the company.
A highly competitive package is on offer with a comprehensive benefits package. Negotiable. Happy to discuss upon application; based on level of seniority and experience
Compliance Officer:
1. Support the Compliance Director to develop and implement comprehensive compliance policies and procedures throughout the organisation such as T&C, advice framework, scanning, etc.
2. Complete thorough file checks of advice cases to ensure adherence to both internal standards and regulatory requirements, providing constructive feedback relating to areas of improvement.
3. Conduct regular audits and risk assessments to identify potential areas of compliance vulnerability and risk; develop/implement corrective action plans for resolutions.
4. Provide advice and guidance on the interpretation of regulatory requirements and their implications for business operations.
5. Keep abreast of, interpret, and communicate changes in FCA regulations to relevant departments, ensuring that all policies and procedures are updated accordingly.
6. Conduct compliance training se...