Compliance Officer

FULLY HOME BASED

Our client is a national IFA firm who are looking for a Compliance Officer to assist in the provision of high-quality compliance governance. This role will play an important role in ensuring compliance with relevant legislation and procedures. Assisting the operation of effective systems and controls to mitigate business risks and to ensure compliance with the regulatory system. Helping to maintain a collegiate relationship with both advisers and support staff to foster a positive approach to compliance across the company.

Key Responsibilities:

• Assisting the team to implement and review strategic business plans for the Compliance function to contribute to the overall compliant operations of the firm.
• Dealing with day-to-day team queries in the Managers absence
• Assisting with compliance induction for new staff
• Providing guidance and support to advisers and support staff
• Providing feedback to advisers and support teams on new business and ongoing review file checks and ensuring any remedial action required is completed.
• Providing support in monitoring effective systems and controls to counter money laundering or financial crime risks
• Maintaining accurate, up to date and detailed compliance records and registers
• Up-dating policies and procedures as and when required
• Contribute to the effectiveness of the Group through delivering coaching and training sessions as required.
• Preparing governance packs/ board packs as required
• Assisting in preparing MI

Qualifications and Experience:

• Level 4 CII Diploma in Regulated Financial Planning or equivalent relevant qualification
• Experience of internal file reviews of new business and annual client reviews, complaints handling.
• Case checking (in pension transfer or mortgage checking) experience is ESSENTIAL.
• A good understanding and knowledge of relevant FCA rules.
• A good understanding of complaints procedures.