Compliance Officer

Recruiter
Hanover Search Group
Location
St. Albans, UK
Salary
Competitive
Posted
21 Apr 2019
Closes
16 Apr 2019
Ref
1129461279
Contract Type
Permanent
Hours
Full-time
Level of qualification
Newly qualified, Qualified
My client is a leading Wealth & Financial Planning firm seeking an experienced Compliance Officer for the Hertfordshire office. Duties will include:
• Develop the compliance plan and update current policies and procedures.
• Develop the existing T&C plan
• Conducting T&C 'one to ones' and agreeing annual training plans.
• Carrying out monitoring and file reviews
• Work with new entrants to ensure competency and best practice
• Provide regulatory training for staff
• Prepare compliance reports for the board and senior stakeholders
• Maintenance of the compliance registers and documents
• Assist with the completion of regulatory returns The ideal candidate will have previous compliance experience within Wealth Management, Financial Planning and have good knowledge around Pensions, Tax & Trusts, Retirement Planning etc.

Similar jobs

Similar jobs