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Compliance Officer
2 months ago
Astral Recruitment is seeking an experienced Compliance Officer to join our client, a specialist financial services company based in Horsham. The successful candidate will be responsible for supporting a team of Advisers in the compliance department.
Key Responsibilities:- Review client files to confirm suitability and adherence to regulatory and company requirements.
- Identify and report any breaches or misconduct by firms and individuals.
- Provide feedback and prepare action plans for firms and individuals following audits.
- Assist in embedding a positive compliance culture across the Group.
The ideal candidate will have compliance experience from an IFA firm and be Level 4 Dip qualified. This is a great opportunity to work with a market-leading company and contribute to the success of the compliance team.
