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Compliance Office

4 months ago

Market Harborough, United Kingdom CAPIO RECRUITMENT LIMITED Full time

**Job Title: Compliance / File Reviewer (IFA)**

**Salary: £35,000 - £40,000**

**Location: Market Harborough**

A well regarded national Financial Planning firm with multiple offices is looking to continue with their impressive rate of growth by hiring a compliance professional to join their expanding back office team and provide technical support across the salesprocess within the firm.

The role would suit someone with a background of assessing the suitability of advice / suitability reports, is knowledgeable about the impact of MIFID II, and someone who is comfortable staying on top of regulatory changes and then providing relevant updatesand training to the financial planning team. Someone with experience of file reviews for both pre and post-advice, compliant investigation and recommending training and areas of improvement to the T&C officer.

You will be overseeing cases from multiple paraplanning/advice teams from different offices, so someone who is comfortable with high workloads and being within a busy working environment would be well suited to this. There is also a focus around technicaladvice so someone who is well-qualified with a strong level of technical knowledge would be preferred.

Being a bigger firm, there is also a strong benefits package on offer and they provide a friendly culture based around working together to achieve the best results.

**The Required Skills**:

- Level 4 Diploma Qualified
- Strong level of pensions transfer knowledge and ideally AF7 or AF8
- Experience of working within a financial planning or wealth management business in a similar role
- Experience of analysing cash-flow modelling or using Intelligent office would be desirable
- Able to build working relationships with the firms planners and be comfortable presenting changes to the relevant teams within the business.

**If you are interested in hearing more about this position, please get in touch with us at Capio.