Compliance (Opportunity for a Cii Diploma Qualified
3 weeks ago
**excellent benefits listed below**
My Client is a rapidly growing IFA firm based in London where long term client relationships based on trust are the result of regular ongoing referrals and recommendations. Due to their success and growth, they are looking to offer this excellent careerdeveloping opportunity to a Diploma Qualified Paraplanner looking to transfer their skills across into Compliance to provide guidance to Advisers, support staff and compliance administrator.
**Opportunity Highlights**
**Reporting to Head of Compliance
**This is an important role ensuring compliance with both relevant legislation and procedures, undertaking file reviews, acting as quality filter for all files submitted, working with the compliance team to ensure that the advice provided meets both businessand regulatory requirement.
**Level 4 CII Diploma in Regulated Financial Planning required
**Happy to study CeMAP
**Experience in compliance monitoring beneficial with experience either within an IFA/DFM or external compliance monitoring/advising ( 2 years min).
**High personal standards to deliver quality compliance
**Career progression and increased earning potential
**Benefits include gym membership contribution, training costs, inhouse study, 25 days holiday & 8 bank holidays, PMI, pension, hybrid working, season ticket loan,
**Sociable and professional working environment.
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