Compliance Officer

Compliance Officer

Job Title: Compliance Officer
Contract Type: Permanent
Location: Leeds
Salary: £35000 - £50000 per annum, Benefits: Competitive Benefits
Start Date: ASAP
Reference: JM%2FBWD%2F5
Contact Name: Joanne McPherson
Contact Email:
Job Published: August 01, 2017 08:39

Job Description

Does the thought of being the right hand person to a talented Compliance Director appeal to you?  Do you want to be part of a highly progressive and entrepreneurial wealth management business?  Do you want to take ownership and make an impact?
If so this may be of interest, due to significant growth and expansion, a dynamic Wealth Management firm based in Leeds is looking to appoint a Compliance Officer to work in partnership with the Compliance Director.
Your core duties and responsibilities would be as follows:
·         Compliance monitoring and conducting file review activity including both pre and post-sale checks ideally in an IFA setting
·         Feeding back to advisers in a constructive and timely manner to ensure quality standards are embedded into the advice process
·         Implementing remedial actions and following up to ensure completion and ownership
·         Identifying trends and collating data to share with the T&C Supervisor and wider compliance function including core KPI’s
·         Preparing 121’s and documentation for T&C Supervisors and providing ad-hoc support when required
·         Reviewing processes, systems and controls and being aware of emerging risks, regulatory updates and the potential impacts
·         Managing relationships with 3rd party service providers and consultants
·         Working closely with the Compliance Director to drive the overarching compliance strategy forward
You will ideally have the following skills and experience:
·         Demonstrable track record of providing business quality assessment and file reviews for advisers
·         Part QCF Level 4 as a minimum, though the full Diploma would be preferred, study support and development is available for the right person
·         Current and thorough knowledge of the advice process, the FCA handbook and regulatory guidelines including systems and controls
·         Experience of complaint handling, financial promotions would be of value though this can be developed
·         Detailed and logical approach to work with a keen eye for detail and the ability to disseminate complex information
·         Skilled communicator with the ability to deliver constructive feedback and challenge in a positive and engaging manner
·         Competent with FS back office systems and the Microsoft suite of products e.g. Word & Excel
This is a key appointment for the business and will give hands on experience to the many diverse areas of compliance and the scope to work in partnership with a Board level Director.
You will enjoy a competitive basic salary and benefits package, be part of a driven team of people, be involved with numerous team building and social events and also have the opportunity to progress you career within this ever evolving business.
Should this opportunity catch your eye please click the ‘Apply’ button, or, alternatively send your CV to