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Senior Compliance Officer
4 months ago
Senior Business Assurance / Quality Review / Compliance / Financial ServicesCompetitive Salary + Up to 25% Performance Bonus + Superb Benefits - Amazing packageEDINBURGH & Home Working (minimum 2 days office based) Must have the level 4 Diploma and wants to work towards Chartered Status
A superb opportunity exists to join a leading wealth management specialist based in several UK locations.
As a Senior Business Assurance / Compliance Officer you’ll play an important part in the outstanding level of service that the IFA’s deliver to their clients. This is a key role and for that reason you need to be a dedicated, knowledgeable financial services professional who has achieved "Diploma" status and driven to work towards Chartered status
The core function of this role is to act as a Technical Consultant as part of the wider division, predominantly to provide support to the Business Assurance Advisers (BAA) peer group and the Management Team. Approximately 10% of the checking team are Senior BAA’s and are required to demonstrate their increased technical knowledge by achieving Chartered status as a minimum over that of the core team of BAA’s who require Diploma status. You will still be expected to compliance check a range of business submitted by the Financial Advisors including the most complex Investment, Pension (including, where appropriate, DB transfers) and IHT cases and the postholder is required to be an expert in assessing these types of business.
You will also be required to act as a technical point of reference for the wider team. This involves query resolution, training, quality checking of trainees’ cases and project work within BA. It may also include representing the department in projects and corporate development. In recognition of their level of experience SBAA’s will also be required to deputize for management, when required, including dealing with BA concessions, acting as a point of contact for Grade Appeals and escalations, providing support for work allocation and to operate within a highly technical niche area to provide technical expertise to the team and BA managers.
The Person:Must have at least Level 4 Diploma with a passion to work towards Level 6 Chartered statusPrevious experience as a Senior Compliance Officer, Senior Para Planner would be ideal, however, they will also happily consider individuals who work as a Senior IFA, Financial Planning Manager and wish to move across to compliance.You must have worked across a full wealth management product portfolioMy client is looking for individuals who have a "can do" attitude, and a strong work ethic. You will enjoy working with others and want to be of service to clients, and each other and must have excellent organisational skills with a strong administration background where attention to detail is key.
This is a superb opportunity to work for an established employer who treat their staff with respect and give credit where credit is due, actively working hard to recognise individual performance.
Hours: Monday to Friday 9am - 5pm (35 hours per week)Benefits: Up to 25% Annual Performance related Bonus (based on company and personal performance), Non-contributory Pension 10% of base salary rising to 12.5% then 15% following length of service, 28 days holiday rising to 30 days (option to buy a further 5 days), Life cover equivalent to ten times base salary, Critical Illness for individual and immediate family, Medical Insurance BUPA, Additional benefits include; SAYE Share Options, Salary & Pension Contribution payable in the first 12 months of illness, Eye-Tests, Refreshments, FREE Car Parking, Childcare Vouchers, Season Ticket Loans. Hybrid working with a minimum of 2 days based in the Office.
