Group Compliance Officer - Financial Planning
Group Compliance Officer - Financial Planning
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MERJE are supporting a financial advice/planning firm in their search for an experienced Compliance Officer.
You will be responsible for:
* Overseeing the 2nd line compliance function.
* Ensuring the business has effective systems, procedures and controls for compliance with requirements
* Ensure that all Advisers and support staff are aware of any relevant guidance in the areas they operate in
* Conducting regular reviews of the File Checkers work to ensure that it meets regulatory standards
* Maintenance of documented and effective compliance procedures consistent with internal standards, business goals and risk appetite.
* Ensure all financial promotions are approved in accordance with the standards set out by the FCA
* Ensuring that the firm have in place a robust risk-based annual compliance monitoring plan,
* Oversee and ensure that all approved persons are subject to the necessary levels of supervision outlined in the Training and Development Plan.
* Broad based Compliance background (5-8 years) gained in a wealth/financial planning firm
* Specific understanding/knowledge of the FCA COBS/SYSC rules.
* Future interest to take on SMF 16 & 17 functions
* An ability to lead and oversee an established compliance team whilst also supporting the development of staff.
* Strong written and verbal communication skills
* Methodical, thorough and strong attention to detail
Seniority level
* Seniority level
Mid-Senior level
Employment type
* Employment type
Full-time
Job function
* Job function
Finance
* Industries
Financial Services, Investment Management, and Investment Advice
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