Job Description
Our client is a specialist financial services company based in Horsham and they are currently looking for an experienced Compliance Officer/Manager to join the team
We have a full time permanent role in Horsham within this company working in their compliance department. supporting a team of Advisers
This is a great opportunity to join a market leading company dealing with :
* Review client files to confirm suitability and good consumer outcomes and adherence to regulatory and Company requirements and identify and require remedial action from members firms where necessary.
* To identify any Breaches or Misconduct by firms and individual and report any training/compliance failures to the Compliance Manager.
* To provide feedback and prepare action plans for firms and individuals following any audit and to complete arisk evaluation of everyone within the firm and an overall risk assessment of the firm based upon the findings ofvany audit.
* To assist in embedding a positive compliance culture across the Group
You must have compliance experience from an IFA firm and ideally be Level 4 Dip qualified