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DATE ADDED: Thu 01/11/2018

Compliance Officer - Diploma 4

Farnborough, UK
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JOB TYPE: Permanent

SALARY: £38000 - £42000/annum Excellent Benefits

Compliance Officer – Salary c£38-40,000 plus Excellent Benefits - 12 month contract Based: Hampshire We are searching for a Compliance Quality Officer to join our market leading Financial Services Client in Hampshire. Our Client an independent wealth management company provide advice to HNW individuals and SME’s. You will be part of the Risk Management Compliance department, reviewing the suitability and quality of advice given to customers by consultants representing our Client. Key Responsibilities: * Accurately assess the suitability of advice given by Consultants * Assess the clarity, accuracy and adequacy of Consultant documentation and record keeping * Issue clear and accurate feedback confirming required actions to avoid complaints * Maintain the technical knowledge necessary to assess the suitability of advice provided by consultants * Identify and report potential cases of financial crime * Maintain records to the standards necessary to demonstrate Consultant performance * Effectively communicate with and deal with queries raised by Supervisors * Meet the departmental standards with regard to service standards and productivity Essential Skills and Experience: * Diploma 4 qualified or equivalent is essential * G60 or AS3 would be ideal but is not essential * Several years’ experience gained within Financial Services environment - specifically life and pensions * Experience of para-planning and file checking is essential * Experience in a compliance / advisory role within an FSA-regulated retail environment is essential * Investigating and assessing suitability and quality of advice * Dealing with FSA objectives, Principles, advice processes and propositions * Data Protection Agency and Financial Crime requirements * Personal and Corporate Financial Planning * Excellent communication abilities and a good level of numeracy is essential Are you an experienced Financial Advisor with some experience of File Checking or Para-planning? This opportunity to join our professional and successful Client could be the perfect move for you. Apply online or contact us for more information. Radley Recruitment is dedicated to helping you find your next career move, so if you are looking for a new role, submit your CV and we can help you find that perfect job
Role: Compliance Officer - Diploma 4
Job Type: Permanent
Location: Farnborough, Hampshire,

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