Compliance Officer

5 months ago


Poole, United Kingdom Appointed Ltd Full time

**Successful wealth management practice in the heart of Poole are expanding their team with a Compliance Officer to support Directors and the Compliance Supervisor to identify, assess, and manage regulatory risks, presenting pragmatic solutions that benefit clients and the business.**

The role would suit someone with experience in file reviews and a background in assessing the suitability of advice/suitability reports. You will also be comfortable staying on top of regulatory changes and providing relevant updates and training to the financial planning team and support staff.
- You will hold the Level 4 Diploma in Financial Planning, with 3 years financial services experiences, 1 in which has been a compliance role. You will have knowledge of Intelligent Office a broad base of compliance knowledge._

Salary of upto £45k, Company Pension, Discretionary annual bonus, Death in service benefit, Flexible hours, hybrid working, Free on-site parking and Support with career development and qualifications.

**Duties**:

- Making sure relevant CPD is maintained and recorded accurately.
- Maintaining all standards of performance as required by the firm.
- Obtaining and maintaining the level of competence as required by the firm.
- Reporting to the board on a quarterly basis on all relevant compliance issues.
- Advising relevant people in the firm on how to comply with their regulatory obligations.
- Producing a compliance report for the firm’s senior management on an annual basis.
- Helping ensure the firm implements in full its risk-based compliance procedures.
- Helping ensure the firm keeps up-to-date management information and that any adverse trends or recurring problems identified are passed on to the relevant people within the firm.
- Helping ensure the firm has adequate data security policies and procedures in place and that these are implemented properly.

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

**Salary**: £35,000.00-£45,000.00 per year

**Benefits**:

- Company events
- Company pension
- Financial planning services
- Free parking
- On-site parking
- Sick pay

Schedule:

- Monday to Friday

Supplemental pay types:

- Bonus scheme
- Yearly bonus

Work Location: In person



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