Compliance Officer

**Role**

This is a part time role, 2/3 days per week or 15-20 hours per week that could work other commitments.

**Our Mission**

At Sedulo we are building a world class team to deliver our mission to make positive change in the communities we work in. We do this by:

- Working with our clients to transform their business and personal finances
- Connecting and contributing to the business community in the cities we are located in
- Working with charities by volunteering, fundraising and influencing change both now and in the future through the Sedulo Foundation
- Being a great place to work and develop your career

**Our Vision**

The Sedulo way embraces a holistic and innovative culture with diversity and integrity at the heart. We are working to build an open and inclusive environment which supports the needs of all our team members.

We are looking for people to join the team who want to deliver beyond expectation and get results. Whether this be through embracing feedback, creating fulfilling relationships with colleagues and clients, being genuinely interested in their work, or by simply being the best version of themselves. At Sedulo, we know how important it is to create an environment for positive change, both in work and in the communities, we work within. This is demonstrated through our persistent commitment to charitable projects and a strong focus on innovation in everything that we do. You can make an impact at Sedulo, not only through delivering amazing work, but also through participating in the charity campaigns we run throughout the year. Alongside all of this, our events team ensure we also have a lot of fun - with countless wellbeing activities and events being hosted at all our offices every week

We understand that to be a world class organisation, we must embrace uniqueness and choose courage over comfort. Everything we strive to be is grounded in our core values: Personable, Integrity, Holistic, Innovative and Deliver Beyond Expectation.

A successful and award winning financial planning practice is looking for a Compliance Officer / File Checker to join its team. Reporting to the Wealth Management Director, the role will consist of high level file checking and have involvement in all other compliance related areas within a busy Independent Financial Planning business.

**Compliance Officer**:

- Support the Directors to develop and implement comprehensive compliance policies and procedures throughout the organisation.
- Complete thorough file checks of advice cases to ensure adherence to both internal standards and regulatory requirements, providing constructive feedback relating to areas of improvement.
- Conduct regular reviews to identify potential areas of compliance vulnerability and risk; develop/implement corrective action plans for resolutions.
- Maintain a good understanding of all FCA regulations and changes, ensuring that all policies and procedures are updated accordingly.
- Involvement in all other compliance related tasks within the firm

**The successful Compliance Officer will have**:

- Level 4 CII Diploma in Regulated Financial Planning or equivalent relevant qualification. CeMap qualification or equivalent would be beneficial.
- Proven experience as a Compliance Officer or similar role within an FCA regulated financial advice business.
- Thorough understanding of FCA regulatory frameworks and compliance requirements.

**Location**

This is a flexible role, with the ability to work from home or from one of our office locations (London, Manchester, Liverpool or Leeds). Requirement to attended quarterly team meetings in person.

**What we offer**
- A company mantra of having fun together, getting results together and giving back together
- A bespoke training and development plan with the opportunity to expand and diversify your skills
- 26 days holiday, company pension scheme, health care plan, cycle to work scheme, death in service benefits and access to our in house Wealth Planning and Mortgage departments
- Smart working and agile working hours including the ability to work remotely for up to 20% of your contracted time
- Ability to work away from home remotely for up to 4 weeks per year, great for extending a trip to see family or making the most of warmer climates
- All expenses paid annual social trip overseas
- Sedulo Group requests that recruitment agencies do not speculatively submit CVs to any employee or associate of our company unless explicitly asked to do so by our People & Culture Director. _

**Job Types**: Part-time, Permanent

Pay: £29,474.00-£40,000.00 per year

**Benefits**:

- Company events
- Company pension
- Cycle to work scheme
- Discounted or free food
- Employee discount
- Life insurance
- Paid volunteer time
- Referral programme
- Sick pay
- Work from home

Schedule:

- Flexitime
- Monday to Friday
- No weekends

Work authorisation:

- United Kingdom (required)

Work Location: Hybrid remote in Liverpool L2 3YL