Compliance Executive

2 weeks ago

London, United Kingdom Financial Divisions Full time

Are you experienced within Compliance with a wealth management background looking for your next step up the ladder? Reporting to the Head of Compliance within this fast-growing London based independent IFA firm, you will be required to maintain a collegiaterelationship with both advisers and support staff to foster a positive approach to compliance across the Business

Opportunity Highlights
- This is a pivotal role within a rapidly growing London based IFA Business.
- You will be responsible for assisting in the provision of high-quality compliance governance within a small inhouse compliance team, ensuring compliance with both relevant legislation and procedures.
- Playing an important role, you will assist with the operation of effective systems and controls to mitigate business risks and to ensure compliance with the regulatory system investigating complaints with mitigation of financial crime and money launderingrisks
- To assist in the provision of high-quality compliance governance within a small in-house team. Reporting to the Head of Compliance, you will play an important role in ensuring compliance with relevant legislation and procedures. Assisting the operationof effective systems and controls to mitigate business risks and to ensure compliance with the regulatory system
- Level 4 CII Diploma in Regulated Financial Planning or equivalent relevant qualification and/or Certificate in Mortgage Advice and Practice (CeMAP) or equivalent (R01/CF6) is essential.
- Practical experience of giving compliance advice and undertaking compliance monitoring in an IFA/DFM environment is essential regarding Client Suitability and File Reviews ( 3 years minimum).
- It is essential to have an understanding and experience of relevant FCA rules and guidance, including conduct of business.
- Benefits include gym membership contribution, training costs, inhouse study, 25 days holiday & 8 bank holidays, PMI, pension, hybrid working, season ticket loan,

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