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Compliance Officer

  • Location

    City Of London

  • Sector:

    Regulatory, Risk & Compliance

  • Job type:

    Contract

  • Salary:

    £350 - £400 per day

  • Contact:

    Jon Garrod

  • Contact email:

    jonathan.garrod@bwd-search.co.uk

  • Contact phone:

    08456000206

  • Job ref:

    JG101018

  • Published:

    4 months ago

  • Duration:

    3-6 months

  • Expiry date:

    2018-11-07

  • Startdate:

    2018-10-25

Are you an experienced field-based Compliance professional with a background in Financial Services? Have you worked in an IFA environment within file quality standards, risk assessment and supporting advisers? Are you looking for a challenging contract role with a well-known firm in the City? Then look no further!

In this initial 3-6 month contract role some of your duties will include:
 

  • Undertaking suitability reviews of advice provided to PSFM’s private clients
  • Ensure that the management of risk is controlled by the full use of compliance 
  • Undertake monitoring of the suitability of advice provided by Planners in accordance with the Compliance Monitoring Programme
  • Pass on any Planner and Paraplanner development needs identified as part of the monitoring process to the T&C Officer.
  • Assist in investigating any significant issues of concern and report as appropriate.
  • Investigate complaints and Errors and Omissions in a timely manner, in accordance with the FCA guidance

Requirements:

  • Proven experience of field-based Compliance within a financial services environment.
  • Diploma Qualified
  • Pensions qualifications requirement – R04; J04; J05; AF3 (being replaced by AF7) at least one of these) – R08 would be a bonus.
  • Investment – R02 would be a bonus
  • Knowledge and experience of monitoring safeguarded benefit advice is essential.