Compliance Officer

Location
Salary
Posted on
Reference

Leicester
£27000 - £30000
21/07/2023
NJR13898

Compliance Officer (Pensions & Investments)
27,000-30,000
Leicester
Full Exam Support and Career Development is available

NJR are currently representing a Chartered Firm of Independent Financial Planners who are based in the Leicester area who are now seeking an ambitious and talented Compliance Officer to join their dynamic and forever growing Business. Our Client work out of a modern state of the art building and pride on maintaining a family oriented culture within their organisation.

The file review process involves checking client files and the documents recorded used for their back-office system against a file review checklist. The Compliance Officer is required to check and record the accuracy of pre-sale and post-sale documents and that these have been created and saved in a timely manner in line with company procedures, as well confirming that anti-money-laundering requirements have been satisfied, and reporting findings to the Compliance Manager.

" Carry out file reviews to identify potential areas of weakness, with individuals or in relation to the Firm’s processes and procedures, as well as identify potential areas of development for advisers and staff involved in delivering services to clients.
" Gather information from the back-office system to record findings and complete necessary paperwork.
" Using a checklist, make notes of the dates pre-sale and post-sale documents were created and ensure that they reflect the same facts, values, and fees, confirm that anti-money-laundering requirements have been satisfied, and report findings to the compliance team.
" Adhere to FCA and company guidelines to complete file checks to a high standard.
" Summarise findings to discuss at monthly Compliance T&C meeting.
" Feedback to the compliance team if areas not meeting standards are identified.
" Select files to be checked based on advisers’ risk assessment and agreed level of supervision. File selection must include a mix of business type and particular focus should be given to potentially high-risk areas of business.
" Any findings of non-compliance or issues that could cause client detriment need to be reported to the Senior Compliance Manager and if remedial action is required this should be carried out promptly and appropriately.
" Preparing KPIs from back-office systems to support KPI requirements for T&C meetings. This includes creating reports and pulling management information together in preparation for advisers’ one to one meetings with their supervisor and other T&C reviews.
" Other special projects of investigation and compliance support when required.
" Comply with the Financial Services and Markets Act 2000 and the relevant FCA rules at all times.

Our client is looking for a confident, switched-on individual who has the to drive exceed expectations and deliver a high level of professionalism.

For further information please contact one of our specialist consultants quoting REF: NJR13898