Job Description
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 within their compliance department, supporting a team of IFAs.
This position offers a great opportunity to join a market-leading company involved in:
* Reviewing client files to ensure suitability, positive consumer outcomes, and compliance with regulatory and company standards; identifying and requesting remedial actions from member firms when necessary.
* Identifying breaches or misconduct by firms and individuals, and reporting any training or compliance failures to the Compliance Manager.
* Providing feedback and preparing action plans for firms and individuals following audits; conducting risk evaluations of personnel and overall risk assessments of firms based on audit findings.
* Assisting in fostering a positive compliance culture across the group.
Candidates must have compliance experience from an IFA firm and be Level 4 Dip qualified or nearing qualification.
There will be a minimum of quarterly visits to the Horsham office; otherwise, the role is remote.
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