A leading regional Financial Advice firm are looking to appoint a Compliance Officer to join their expanding team. Reporting to the Compliance Director, you will be the first point of contact for Advisers and sense and fact checking the work completed by the business. The practice have significant and expanding numbers of advisers and paraplanners and are an award winning business.

The firm- an established but expanding Financial Advice practice

The role

• File checking to check suitability of advice
• Call checking to check suitability of advice
• Assessing vulnerability characteristics and support needed
• Delivering feedback to advisers, paraplanners and management
• Liaising with Compliance Director on individual cases as well as assisting them in developing, implementing and monitoring compliance policies and procedures
• When required speaking with clients via telephone or email to discuss and resolve issues before they are escalated to Compliance Director when appropriate.
• Providing support to departments across the business for ad-hoc queries
• Ensuring adherence to regulations, legislation and internal policies