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Senior Compliance Officer

4 months ago

Leeds, United Kingdom CHN Financial Consultancy Full time

**The role**:

- Working as part of the Compliance Team, supporting colleagues where required and reporting to the Compliance Manager
- Work as part of a team of file checkers sharing knowledge and experience
- Undertake comprehensive file checking case reviews of various financial advice areas, to ensure the accuracy and completeness of the files, working closely with Financial Planning Consultants, Paraplanners and Business Support to ensure reports are produced in an ethical and compliant manner
- Following the FCA and the firm’s processes and procedures to ensure the advice is the most suitable course of action for the client and that they have enough information to make an informed decision. Where concerns are identified, discuss with the Compliance Manager and work with the advisers to ensure suitable advice is given and the FCA and companies procedures and processes are followed
- Provide support for Consultants and Support Staff in file construction and compliance standards for advice areas within the Firms standards and processes
- Manage your own time to ensure company deadlines are met
- Report identified rule breaches (Internal or FCA) to the Compliance Manager
- Assisting in the administration duties in the day to day running of the Compliance department
- Completing various annual checks on the firms compliance processes and procedures and reporting findings to the Compliance Manager
- Uploading information/ Checking Information on internal computer systems
- Assisting the Compliance Manager with the oversite administration tasks and monitoring of the compliance requirements of the firm.
- Assisting and supporting on project requirements of the compliance department
- Work with the wider business on ad hoc projects, to enhance the advice proposition of the company

**To be considered you must be able to demonstrate the following**:

- Level 4 Diploma Qualified in Financial Planning (or very near)
- Previous experience in a similar role or having worked in either Paraplanning, Compliance or in a support role or an advisory role within an IFA firm, or having some supervisory experience
- Some technical knowledge of pensions and retirement solutions and full range of investment, tax planning, protection business and mortgages an advantage
- Some experience of Morningstar, Synaptics, Defaqto, FE Analytics, Advisor Asset, Centra and other relevant research software tools an advantage
- Some experience and knowledge of WRAP Platform(s), Investments and Product markets an advantage
- A willingness to work independently, a high level of integrity, handling confidential information of a sensitive matter in a professional manner at all times
- Ability to work under pressure to tight deadlines and manage conflicting priorities
- Good numeracy, analytic, feedback and written skills. The ability to communicate clearly and concisely, both verbally and in writing, providing feedback and guidance in a constructive and authoritative way
- Good IT skills
- Demonstrate a wiliness to learn and take on responsibility and have a flexible attitude
- Ability to integrate with other team members
- Ability to recognise potential problems and proactively look for solutions
- Efficiently prioritising tasks and managing a work load for multiple stakeholders

**Package**
- Competitive Salary - Subject to experience and qualifications
- Company pension scheme
- Death in service cover and Private Medical Insurance - Subject to a qualifying period
- Financial support towards relevant qualifications

**Job Types**: Full-time, Permanent

**Benefits**:

- Company events
- Company pension
- Free parking
- Life insurance
- Paid volunteer time
- Private medical insurance
- Sick pay

Schedule:

- Monday to Friday

Supplemental pay types:

- Performance bonus

Work Location: In person

Application deadline: 01/05/2024
Expected start date: 01/05/2024