Compliance Officer

3 days ago

Chichester, United Kingdom Professional Placement (Southern) Ltd Full time

We are recruiting for a long standing client, who has a IFA practices based up and down the UK.

My client has an opening for a FIELD BASED Compliance Officer. Working from either the Southampton, Waterlooville or London. Travelling will be required in other parts of the UK occasionally/ or when required. This role does come with Car Allowance

The role will suit a compliance officer, who is looking to take on a slightly bigger role that is field based, managing your own diary to work with the smaller offices on compliance training, assessments and monitoring of individual team members in eachbusiness.

**The duties**

To always ensure adherence of policy and procedures, with distinct regard and compliance with the Conflict of Interest Policy and Inducement and Incentive policy.

To provide training or coaching to individual representatives to improve where necessary their skills and knowledge of their role.

To monitor on an ongoing basis the activities of the individual representative in relation to compliance with the policies and procedures that are applicable to the individual.

Checking files and auditing for monitoring purposes and maintaining high standards of compliance throughout the business.

Ensuring that marketing literature is adequate for all business use.

To act as locum cover for other adviser support associates as required.To undertake temporary assignment to other sections of the compliance department and where necessary attend Head Office in support of the operation demands of the Company.

**What you need**

Holder of a recognised supervisory or management qualification such as the CIIH15 / J07 or equivalent or membership of a recognised professional body such as the Institute for Supervision and Management (by experience) is required. If this is not held atdate of appointment it is to be achieved within 18 months of appointment.

Financial Planning Certificate and CeMAP or equivalent are required.

Level 4 Diploma (or working towards it) on acquisition is desirable

Sound analytic skills

Sound coaching, training and assessment skillsFamiliarity with the current standard of the investment advice process including asset allocation, portfolio construction, risk profiling, capacity for loss and the various investment platforms.

Package is paying circa 40 - 42k + £5500 Car Allowance + Benefits.

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