Compliance Office

☞ Consegna Recruitment

View: 103

Update day: 11-06-2024

Location: Halesowen West Midlands

Category: Administrative / Clerical / Assistant

Industry: Staffing Recruiting Insurance Financial Services

Position: Entry level

Job type: Full-time

Loading ...

Job content

Compliance Officer - Wealth Management

Birmingham based

£30,000 basic

Currently feeling undervalued in your current company? Are you a small part in an already well-established team, and can’t see any progression opportunities unless your manager leaves?

If this is the case, we may have just have the role for you as we are looking for an experienced Compliance Officer to come in and support a growing business in their existing compliance team.

This role is with an established Wealth Management firm based in the Midlands who offer a range of Financial Advice tailored to client’s individual needs & circumstances. They currently have a new opportunity for an experienced Compliance Officer to join their team ensuring all business regulatory requirements are met.

The ideal candidate for this role will have gained experience within Financial Services & have had some direct experience in a compliance role previously. This role will require working closely with the Senior team member so having a flexible & adaptable approach to internal processes will be necessary.

Key Duties
  • Complete regular file checks for advisors
  • Complete client meeting observations
  • Identify regulatory checks and conduct risks within the business across an individual advisor basis and put in place adequate measures and procedures to minimise any risks.
  • Produce and communicate regulatory change into the business when required
  • Deliver independent assessments and reports that identify regulatory performance.
  • Delivering compliance and regulatory training to advisors where required.
  • Communicating between advisors, Directors & external parties.
  • Understanding of the current regulatory environment & keep up to date with the changes.
Key Requirements
  • Level 4 Diploma Qualified (must have)
  • Clear understanding across mortgages, pensions, investments & pension transfer’s
  • Clear understanding of FCA guidelines
  • Proven successful regulatory leadership
  • Can show a flexible & positive approach to working and other’s views.
  • Excellent communication skills both written & verbal
  • Full UK Driving Licence
  • Proof of clean credit history
If this sounds like an opportunity that you wouldn’t want to miss and you have the required experience make sure you get in contact today!
Loading ...
Loading ...

Deadline: 26-07-2024

Click to apply for free candidate

Apply

Report job
Loading ...
Loading ...

SIMILAR JOBS

Loading ...
Loading ...