Compliance Professional

2 weeks ago


Maidstone, United Kingdom Premier Jobs UK Limited Full time

Our client is an independently owned, financial planning firm based in Kent, who are looking to recruit an experienced Compliance professional to join their team as part of their organic growth plans.You will be working closely with the management team, as an integral team member, working on the compliance framework in line with regulatory and industry standards. We require an experienced Compliance professional, with experience within IFA practices.This is a hands on role, with duties such as:File checkingEnsuring accurate compliance records and documentationIdentifying, designing, delivering and monitoring of compliance policies and proceduresConduct risk assessments to mitigate risksSupport with training team members on compliance topicsMonitoring industry regulation changes and act on this accordinglyYou will be joining a values driven firm who are passionate about doing what is right for the client and helping through their technical expertise. Their collective goal is to deliver quality, holistic financial planning with strong client relationships, as they know if that is done correctly, everything will follow from there.Compliance Professional RequirementsYou must hold Chartered status in Financial Planning, preferably with AF3 or equivalentYou must be experienced in all areas of IFA compliance duties and be conf...



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