Compliance Officer

2 weeks ago


Market Harborough, United Kingdom Premier Jobs UK Limited Full time

This part-time Compliance Officer is for an experienced individual to support a national financial planning firm.

Your key responsibilities as a Compliance Officer will be:

- Monitor and report on the compliance and risk framework within the business
- Prepare and review compliance policies and procedures
- Monitor and report on the implementation of the firm’s training and competency scheme
- Review financial promotions prior to sign off by the Compliance Director
- Review complaints and breaches
- Prepare FCA regulatory reporting for sign off by the Compliance Director
- Assist with the preparing reports and MI for the board

**Compliance Officer Requirements**
- You should have 3+ years’ experience in retail financial planning
- Ideally, you should hold Level 4 Diploma in Financial Planning or equivalent
- You should have detailed knowledge of compliance policies within financial planning

**The Company**

This growing IFA firm is led by highly respected names within the financial services industry, focused on creating an inclusive culture with goal based financial planning for clients. The business is keen to build a great place to work, with a friendly teamthat is passionate about treating everyone fairly and an ethos of promoting wellbeing, whilst also rewarding generously.

**Compliance Officer Benefits**
- Salary of up to £40,000 FTE (pro-rated for part-time)
- Working for their Market Harborough office and other branches as required, with hybrid working provided
- Part time, 3 days per week
- Plus company benefits including pension, life assurance, group income protection, health cash plans and salary exchanges
- Excellent ongoing employee well being programmes

**Location**

Market Harborough

**_Liability and Disclaimer_**
- Whilst Premier Jobs UK uses all reasonable efforts to ensure the information contained in our adverts including any salary, benefits or on target earnings are accurate, we give no representation or warranty in respect of such information. No liabilityis accepted by Premier Jobs UK for any loss or damage which may arise out of any person relying on or using any information._



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