This opportunity is with a well-established firm of Compliance specialists who assist small IFA firms with all matters of Compliance and legal standards.

Job Description

• Monitor and assess compliance with relevant legal and regulatory requirements.
• Develop and maintain compliance policies and procedures.
• Conduct regular audits to identify potential risks and areas for improvement.
• Act as the primary point of contact for regulatory bodies and external stakeholders.
• Review and update documentation to ensure alignment with current regulations.
• Prepare detailed reports on compliance activities and findings for senior management.
• Client file reviews - looking at suitability of advice and adherence to regulatory standards.
• Conduct risk-based Compliance Audits to evaluate the effectiveness of compliance controls and processes within the firms we work for.
• Review and approve financial promotions - including websites, blog posts and use of social media platforms.
• Help develop and implement compliance management strategies to ensure adherence to regulatory standards.
• Monitor changes in regulation, legislation and industry standards - ensuring that new rules are properly understood and embedded.
• Provide training and support to our firms on compliance-related matters.
• Complaint investigations - in line with the FCA's Dispute Resolution Rules.
• Assist in the development of policies and procedures related to compliance management.

The Successful Applicant

• A successful Compliance Officer should have:
• A strong understanding of regulatory requirements (FCA)
• Conflicts and AML experience would be advantageous.
• Experience in developing and implementing compliance frameworks.
• Excellent attention to detail and analytical skills.
• The ability to communicate complex information clearly and effectively.
• A proactive approach to identifying and mitigating compliance risks.
• Relevant qualifications with CII level 4 or compliance fields.

This role may suit an IFA Administrator or Paraplanner who would like to venture into a Compliance related role.

What's on Offer

Competitive salary in the region of £30,000-£40,000 per annum.

Hybrid working model, allowing flexibility between office and remote work. (2 days at the Crawley office)