IFA Compliance Specialist

3 weeks ago


Southampton, Southampton, United Kingdom Coast Specialist Recruitment Full time
About the Role

We are seeking a highly skilled IFA Compliance Consultant to join our team at Coast Specialist Recruitment. As a key member of our compliance team, you will be responsible for ensuring that our clients' financial services businesses operate within the bounds of regulatory requirements.

The ideal candidate will have a Diploma qualification in a relevant field and extensive experience in reviewing files for IFA's. You will be expected to work independently, with a high level of attention to detail and a pragmatic approach to compliance.

Key Responsibilities
  • File checking and review
  • Answering client compliance queries
  • Reviewing and updating in-house procedures
  • Training advisers
  • Reviewing CPD activity
  • Collating management information
  • Annual audits
What We Offer
  • Salary - to be discussed
  • 3% pension contribution
  • 4x life cover
  • Business mileage
  • 25 days holiday plus bank holidays
  • Birthday bonus day off
  • Fully expensed summer annual party
  • Various team nights out (all expenses paid)
  • Laptop
  • Phone
  • Full business expenses
Requirements
  • Level 4 qualification
  • Interviews will be conducted remotely, followed by a meeting with the Directors


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