Compliance Officer

4 days ago

Hitchin, United Kingdom London Financial Consultants Ltd Full time

**Job Overview**
We are looking to recruit an experienced Compliance Officer to work from our office in Hertfordshire

As a Compliance Officer you’ll play an important part in the outstanding level of service that the IFA’s deliver to their clients.

This is a key role and for that reason you need to be a dedicated, knowledgeable financial services professional who has achieved “Diploma” status.

In this role you will be responsible for compliance auditing a full range of wealth management business submitted by the Group.

You will be required to contribute to the identification and research of trends which will lead to training needs or the amendment of products, provide feedback to the remote Management teams and the IFA’s on required changes to cases, and provide knowledgeable technical support service to the business in relation to the correct documentation for all case types.

Day to day you will be file checking a range of business submitted by their IFA's, providing feedback to the business in regard to Risk and the changes required to cases to ensure compliance.

The Person:
Must have the Level 4 Diploma (or equivalent)

Previous experience as a Compliance Officer, Compliance Checker, Para Planner, Sales Support Administrator would be ideal, however, they will also happily consider individuals who work in sales as an IFA, Financial Planning Manager or Broker Consultant and wish to move across to compliance.

Ideally you will have worked across a full product portfolio typical of a wealth management environment.

We are looking for individuals who have a “can do” attitude, and a strong work ethic. You will enjoy working with others and want to be of service to clients, and each other and must have excellent organisational skills with a strong administration background where attention to detail is key.

This is a superb opportunity to work for an established employer who treat their staff with respect and give credit where credit is due, actively working hard to recognise individual performance.

Pay: £35,000.00-£50,000.00 per year

Schedule:

- Monday to Friday

Work Location: In person

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