Hampshire - Portsmouth
£30,000 to £35,000 dependent on Experience
My client is one of the largest firms of IFAs in the South. From a modest beginning in the group has become one of the region's most successful Wealth Managers.
In this role you will assist the Head of Compliance in promoting a professional, positive and efficient compliance ethos within the Compliance Department and assist with regulatory compliance queries and other tasks.
Some of the key responsibilities will include :
- Regulatory File Checking - Pre & Post sale Approval
- Be a point of contact for compliance related queries.
- Encourage a positive compliance culture within the business through effective communications (verbal and written) with management and staff.
- Assist the Head of Compliance with the implementation of compliance policy and establishment of adequate in-house controls and compliance procedures.
- Monitor outside developments in compliance.
You should have a minimum of level 4 and a background in advice and or compliance with key knowledge of financial planning.
Role: Compliance Officer
Location: Portsmouth, Hampshire, England
Apply for this job now.