Compliance Officer

3 weeks ago

Grimsby, United Kingdom NJR Recruitment Full time

**Location**
**Salary**
**Posted on**
**Reference**
**Benefits**

Grimsby
£40000 - £55000
05/05/2023
NJR13765
Plus Excellent Benefits

DESCRIPTION

Compliance Officer - Financial Planning
Grimsby - Hybrid

NJR Recruitment is delighted to be recruiting for a well known and highly regarded Wealth Management firm with offices based throughout the Yorkshire Region. Offering a genuinely bespoke Wealth Management service to a diverse range of high net worth individuals, our Client provides Investment Management and Financial Planning services at an industry leading level.

Due to a pending retirement, they are now looking for an experienced Compliance and T&C Officer to join their compliance team. Based from their prestigious offices based in Grimsby, you will be working closely with the Compliance Director and carrying out the monitoring of FCA designated investment, fund management, pensions and banking business, whilst advising on compliance issues in order to protect and enhance the reputation of the company, its officers, and staff and to ensure investor protection through the implementation of high standards of compliance.

This will be a varied role and will include:
Monitoring regulated staff members, ensuring that they are working at the correct levels
Helping to implement any changes from management or FCA
Assisting with the training and development of advisers and other staff
Where appropriate to attend and provide compliance input on specific business committees
Responding to compliance enquiries from all areas of the business and providing pro-active advice where necessary
Conducting comprehensive file reviews on a range of pension and investment products
Undertaking compliance and business projects when the need arises

What's in it for you?

Excellent salary which can be tailored to individual experience
Hybrid Working
Great Holiday Allowance
Death in Service cover
Flexible Benefits Package
Group life cover
Excellent career development and progression available
Company Pension

What we need from you?

Previous experience working in a compliance based role within financial planning
Level 4 Diploma in Financial Planning
Strong knowledge of pension and investment products and related compliance rules
Excellent communication skills

This is a great opportunity to work with a nationally recognised, award winning firm of financial planners and would be an ideal chance for someone looking for a role that may lead to a director level role in the future.

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