Our Client, a market leading firm of IFA’s, are looking for an experienced Compliance Officer. Previous experience within the regulated Financial Planning Financial Services industry is essential, and preference would be that you are Diploma Qualified (level 4). The successful candidate will be working directly with the owners and existing compliance staff to ensure the company adheres to FCA guidance and the company’s own in-house policies. Your expertise in effective risk management and regulatory knowledge will play a crucial role in maintaining the company’s integrity and reputation.
Responsibilities:
*Developing and overseeing control systems to maintain regulations and internal policies
*Evaluating the efficiency of controls and improving them continuously
*Revising procedures, reports, etc
*File checking
*Assessing the company’s future ventures to identify possible compliance risks
*Proven experience in a compliance role within the financial services sector
*In-depth knowledge of the FCA standards and regulations
*Excellent knowledge of reporting procedures and record keeping
*Outstanding communication and interpersonal skills
*Ability to work under pressure and meet deadlines.
*Solution and service orientated.
*Technology savvy and willing to embrace new systems and software.
*Good analytical and decision-making skills.
*Strong influencing skills.
*Discrete and professional in all communication.
*Strong emotional intelligence.
*Effective listener.
*Willingness to challenge in a constructive and non-confrontational manner.
*Organised multi-tasker and effective prioritisation.
*Adaptable and flexible.
*Self-motivated and willing to work at times in isolation and as part of a wider team.
*We are considering both full-time and part-time candidates for this position. Whilst our client offers the flexibility of hybrid working but this is not a fully remote role and you will be expected to work from their offices at least 2-3 days a week.