Compliance Officer
Wealth Management (IFA Firm)
Location: Leicestershire (4 days a week in the office, 1 day working from home)
Salary: To £70k + benefits
Looking to be the Compliance lead for successful financial planning firm without the responsibility of being an SMF?
Perhaps you're looking for a stepping stone to an SMF16 role but are not ready for that level of responsibility just yet.
Or perhaps you've previously operated as an SMF16 but now want a senior Compliance role without that added responsibility.
That's what's on offer here.
As part of a wider network, this established, and highly successful IFA firm operates as an Appointed Representative and their continued growth now means they're looking to recruit a Compliance Officer to support the business in maintaining robust compliance and governance standards.
It's a role that will see you work closely with the senior leadership team and influence how regulatory compliance is embedded across the business.
You'll coordinate the internal application of the network's policies and updated including those specifically related to documentation, communications, file checks and complaints.
You'll oversee advice file reviews in accordance with network expectations and follow up on any remedial actions. You'll also lead on the implementation and interpretation of the Consumer Duty rules and review and manage the sign-off process required for client-facing communications and materials.
In addition, you'll work with departmental managers and advisers to ensure the network's T&C scheme is appropriately embedded and organise and support adviser T&C meetings, observations and development planning.
You'll be an experienced Compliance specialist with strong experience from within a Financial Planning / IFA firm and ideally hold at least CII Level 4 Diploma (e.g. DipPFS or equivalent).
You'll also have a proven track record of senior stakeholder engagement and management and possess excellent communication, negotiating and influencing skills.
Interested?
If so, click apply and send over your CV.
Not got an up to date CV?
Don't worry, you can always give me (Mark) a call on for a confidential discussion or email me at letting me know that you're interested. We'll pick it up from there.