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Regulatory Compliance Officer

3 months ago


Liverpool, Liverpool, United Kingdom Astral Recruitment Full time

Position: Compliance Officer/File Review

Company: Renowned IFA firm in Liverpool

A prominent financial advisory firm is in search of a Compliance Officer/File Review to enhance their compliance team. The ideal candidate will possess a solid background in Financial Planning, complemented by a Level 4 Diploma or an equivalent qualification. This position is well-suited for seasoned advisers seeking a new direction or Paraplanners aiming to pivot into compliance roles.

Core Responsibilities:

  • Conducting thorough reviews of daily Pension and Investment cases to ensure adherence to FCA regulations.
  • This is an office-based position located in Liverpool.

Compensation: Up to £40,000 along with additional benefits.