Compliance Officer - Financial Planning - Nr Portsmouth - c£35k - Investments and Pensions
Your new company
This is a fantastic opportunity to join a leading Financial Planning business based on the South Coast as a Compliance Officer.
Your new role
Is to ensure that the business meets with the regulatory requirements placed upon it by all of the appropriate regulators/authorities and legislation across the business. You will provide assistance to senior management in promoting a professional, positive and efficient compliance ethos within the Compliance Department and assist with regulatory compliance queries and other tasks pertinent to the department's objectives of ensuring good customer outcomes at all times.
Main duties include:
* Regulatory File Checking - Pre & Post sale Approval
* Be a point of contact for compliance related queries.
* Establish key business internal and external relationships to ensure best practice.
* Encourage a positive compliance culture within the business through effective communications (verbal and written) with management and staff.
* Assist with the implementation of compliance policy and establishment of adequate in-house controls and compliance procedures, thereby assuring continued authorisation by the regulators and authorities. Ensure compliance with related legislation, such as Data Protection, Anti-money Laundering Regulations and Bribery Act. * Maintain close contact with Management, discussing any compliance breaches, remedial action and providing advice as required in order to promote a culture of compliance and to identify the optimum course of action in all cases.
* Monitor outside developments in the wider financial services sector and the compliance industry (a) to maintain an up to date knowledge and awareness of relevant issues and future trends and (b) to contribute to the wider holistic management of the business.
What you'll need to succeed
You will be an accomplished Compliance Officer with strong knowledge and understanding of Investments and Pensions products with practical experience in Pre / Post sales compliance file review/checks. You will ideally have a Level 4 diploma in Financial Planning or be willing to work towards this. You will have strong communication both written and verbal with the ability to build working relationships and provide constructive challenge with experienced advisers.
What you'll get in return
A salary of c£35,000 dependant on experience + company benefits and free parking.
What you need to do now
If you're interested in this role, click 'apply now' to forward an up-to-date copy of your CV, or call us now.
If this job isn't quite right for you but you are looking for a new position, please contact us for a confidential discussion on your career.
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