We are working with a client that is looking for a compliance officer to help provide high-quality compliance governance within a medium-sized team with big, yet still realistic, growth plans in a 3year window, so a very exciting time to join them.
There will be a focus on complaints handling and file checking within this role.
This role will play an important role in ensuring compliance with legislation and procedures. Helping to put in place effective systems and controls. You will maintain a relationship with both advisers and support staff to enact a positive approach to compliance across the company.
This role may suit a paraplanner looking for a change in direction. Hybrid working - 1 or 2 days in the office a week Requirements
- Diploma in Financial Planning (ideally or working towards)
- IT competent with knowledge of Intelligent Office an advantage.
- A good understanding and knowledge of relevant FCA rules and complaints procedures
Apply today to be considered for this opportunity. If suitable, one of our specialist consultants will be in contact to discuss the opportunity with you in detail prior to submitting your CV to the client. Additionally, refer a friend or colleague to us and receive £200 if we assist them in securing a new career.Paraplanner, Report writer, Adviser Support, Technical Support, Associate Planner, Compliance, File Checking, File Checker