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DATE ADDED: Sat 11/08/2018

Compliance Officer

Portsmouth, UK


Compliance Officer

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
Job Type:
Location: Portsmouth, Hampshire, England

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