Compliance Officer

7 days ago


Greater Manchester, United Kingdom Broster Buchanan Ltd Full time

* Attractive salary along with company benefits plus bonus.
- Flexible working hours and Hybrid Role
- An opportunity for progression and growth within an established organisation.
- Support the compliance monitoring program, providing insight into high-risk elements of business processes and supporting the wider team to maintain effectiveness.
- Support the 1LOD in developing complaint business processes and ensuring positive client outcomes.
- Conduct 2LOD regulatory file reviews to assess whether the advice provided to clients is in line with regulatory expectations and that all regulatory obligations have been met.
- Support the Handling of FCA regulated complaints related to the financial planning business unit and be one of the company's key contact for the Financial Ombudsman Service (FOS) where our clients have referred their complaints to FOS. You will ensure thatdecision making is impartial and consistent in line with company guidelines and regulatory requirements.



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