Compliance Officer

3 weeks ago


Leamington Spa, United Kingdom Heat Recruitment Full time

An exciting opportunity has arisen for an experienced compliance professional to join a growing wealth management practice in the Warwickshire area.
The firm has been expanding all areas of the business, with new support staff and advisers joining in recent months they are now looking for a compliance professional with industry experience to join the business.
Key Responsibilities
- Adviser new business File checks
- Regulatory Reporting
- Adviser monthly 1:1’s measuring against KPI’s and other MI
- Coaching new advisers
- Organising CPD for the team

You will need to have wealth management experience to be considered for this position.

What’s next?

Additionally, refer a friend or colleague to us and receive £200 if we assist them in securing a new career.

Synonyms: IFA, Compliance Manager, Compliance Officer, Compliance Executive, Financial Planning, Financial Advice, Financial Advisor, Financial Planner, Financial Adviser, Compliance Consultant, FCA, Oversight, Monitoring, file review


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