Compliance Officer / Compliance Manager

Premier Jobs
21 Apr 2019
17 Apr 2019
Contract Type
Level of qualification
Newly qualified, Qualified
Are you an experienced Compliance Officer looking to join a growing IFA firm with ambitious plans? The Company Our client is a Directly Authorised Independent Financial Advisory firm established in 2009, that has secured investor backing, to undertake rapid growth. They are a forward-thinking firm that are looking to continue building their team of quality, professional IFAs. As such, they require a Compliance Officer to play a key role in developing and implementing the Compliance and T&C framework. Roles and responsibilities as a Compliance Officer As part of your role as a Compliance Officer, you will focused on ensuring the ongoing compliance and staff competency through building and delivering a T&C framework. Currently, the team consists of 12 IFAs / Mortgage Advisers and a small paraplanning / administration support team. Your duties will include: Actively manage the firms compliance with FCA principles, rules and guidance Identify areas for development and to improve MI Provide training to Advisers and staff (majority based in their office, with some field visits required) Oversee T&C standards Assist the Directors on any relevant projects or tasks Requirements to be considered - Compliance Officer You should be an experienced Compliance Officer or Compliance Manager with previous experience of compliance and T&C of Financial Advisers. You should have strong knowledge of current regulations and legislation and have high attention to detail. Plus, you must be at least Level 4 Diploma qualified and ideally working towards Chartered status Benefits Salary of £48,000 - £50,000 Potential for higher salary if you take on CF10 status Plus company benefits include: 21 days holiday Bank Holidays, mileage reimbursement, additional qualifications funded and auto-enrolment pension Joining a growing business in a role that will be influential in enabling their IFA's to provide excellent advice Normal 35 working hours per week - Monday to Friday, 9am to 5pm Office based role with some field visits Location Bradley Stoke, Bristol Call us now on (phone number removed) or click Apply Liability and Disclaimer Whilst Premier Jobs UK uses all reasonable efforts to ensure the information contained in our adverts including any salary, benefits or on target earnings are accurate, we give no representation or warranty in respect of such information. No liability is accepted by Premier Jobs UK for any loss or damage which may arise out of any person relying on or using any information