Compliance Specialist

24 hours ago


Leicester, Leicester, United Kingdom Premier Jobs UK Limited Full time
Job Overview: Premier Jobs UK Limited is seeking an experienced Compliance Specialist to support their Senior Compliance Manager in South Leicester. This role provides a unique opportunity to work with a local Financial Services firm, assisting in training and competence support for Independent Financial Advisors. As a key member of the compliance team, you will identify regulatory risks and design internal controls to ensure compliance across the business.

About the Role: The T&C Supervisor / Compliance Support position offers a salary of £30,000 - £35,000 depending on experience. You will be required to provide training and competence support to IFAs, ensuring they adhere to company and FCA guidelines. Additionally, you will assist the compliance team in identifying regulatory risks and designing internal controls to maintain compliance.

Key Responsibilities:
  • • Assist the Senior Compliance Manager in providing training and competence support to IFAs
    • Identify regulatory risks and design internal controls to ensure compliance
    • Support new and existing IFAs in adhering to company and FCA guidelines


Requirements:
  • • Experience within compliance for financial services
    • Understanding of how Financial Advisors and Mortgage Advisors operate
    • Full Level 4 Diploma in Financial Planning or equivalent


Benefits:
  • • Salary of £30,000 - £35,000 depending on experience
    • Generous non-contributory pension
    • Performance-based incentives
    • DIS
    • 25 days holiday plus bank holidays
    • Office based role with free parking, kitchen, dining, and gym facilities
    • Working within a business passionate about helping clients
    • Regular paid team events throughout the year


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