Compliance Officer - Financial Services & Wealth Management

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With exciting development plans in place for 2018, a prestigious and well-established financial services company are looking for a Business Compliance Specialist to join their team during this exciting time of growth.

Working within a busy and sociable environment, the Compliance Officer will be responsible for carrying out file reviews, undertaking AML checks, preparing business compliance KPIs and completing FCA reporting.

Due to the specialist nature of this role, my client requires a candidate who has proven experience working within a compliance based role who has an excellent understanding of industry regulations and file checking. You must also hold the RO4 / Certificate in Financial Planning or Equivalent.

This is an excellent opportunity for an experienced Compliance Officer to further their career within a company who can offer a competitive salary, a reputable benefits package and clear paths of progression.

The Compliance Officer will be responsible for:

Essential Requirements are:

  • Carrying out file reviews, checking all documentation, reviewing Adviser recommendations to clients in relation to ISA and pensions
  • Monitoring and recording AML checks
  • Liaising closely with senior management and Advisors with regards to your findings
  • Preparing and reviewing business compliance KPIs
  • FCA reporting duties
  • Reviewing and signing off literature against the firms services and FCA Financial Promotions rules

If you are an experienced compliance professional who is looking to progress their career within a growing and forward thinking firm, then this is the role for you! Alongside a competitive salary, my client can offer an impressive benefits package and clear paths of progression. If you have all of the above requirements for the Compliance Officer - Financial Services & Wealth Management position, then please apply now using the link below.


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