Compliance Officer - Financial Services Hybrid/Remote
Our client is a specialist financial services company based in Horsham, currently seeking an experienced IFA Compliance Officer/Supervisor to join their team.
This is a full-time, permanent role supporting a team of IFA's within the compliance department of a market-leading company.
The key responsibilities include:
1. Review client files to confirm suitability, ensure good consumer outcomes, and adherence to regulatory and company requirements. Identify and require remedial action from member firms where necessary.
2. Identify any breaches or misconduct by firms and individuals, and report any training or compliance failures to the Compliance Manager.
3. Provide feedback and prepare action plans for firms and individuals following audits. Conduct risk evaluations of personnel and overall risk assessments of the firm based on audit findings.
4. Assist in embedding a positive compliance culture across the group.
Candidates must have compliance experience from an IFA firm and be Level 4 Dip qualified or close to it.
There will be a minimum of quarterly visits to the Horsham office; otherwise, the role is remote.
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