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- Annual Salary: £40,000 - £45,000
- Location: Whiteley, London, or Bath (Hybrid Working 2 Dys in the office and 3 days at home )
- Job Type: Full-time
We are seeking an organised, enthusiastic, and knowledgeable Compliance Professional to join our growing Compliance and Risk team. This role offers the opportunity to work in a fast-paced, collaborative environment, utilising your skills and expertise to deliver outstanding outcomes for our clients.
Day-to-day of the role:- Oversee and review complaints, calculating any potential redress to ensure fair treatment of all customers.
- Manage the allocation of file checks to test the quality of advice given, including tracking to support new advisers in reaching competent status.
- Support the Training and Competence Framework, including completing annual Fit and Proper assessments.
- Conduct Financial Promotion reviews to ensure communications are fair, clear, and not misleading.
- Work on the policy framework, ensuring policies are current and presented to the relevant Boards and Committees for approval.
- Horizon Scanning for new or updated regulations and assessing potential impacts on the organisation and our clients.
- Provide adviser support on technical questions and liaise with compliance third parties to establish positions on various issues.
- Maintain various Registers of activity, including conflicts of interest, breaches, errors, and gifts and inducements.
- Provide compliance support on projects responding to regulatory changes or operational improvements.
- Assist in the production of monthly Management Information for the Compliance section of the Group monthly data pack.
- Level 4 Diploma Qualified in Regulated Financial Planning.
- Previous compliance experience in a first-line capacity, with an understanding of a three lines of defence model.
- Sound working knowledge of the FCA Handbook.
- Experience within the Financial Services industry, ideally within a private client advice or asset management/DFM business.
- Excellent interpersonal, verbal, and written communication skills with strong attention to detail.
- Proficient in Microsoft Office Suite (Word, PowerPoint, Outlook, SharePoint, Excel).
- Ability to take ownership and responsibility for tasks and projects, working autonomously and collaborating with key stakeholders.
- Willingness and flexibility to travel to office sites as required; driving and having your own transport is advantageous.
- 28 days’ holiday plus bank holidays.
- Life assurance and income protection.
- Pension scheme.
- Access to a flexible benefits platform.
- Opportunity to work within a flexible working environment to suit your lifestyle.
- Be part of a culture that promotes a fun and supportive work environment.
If you are passionate about compliance and delivering the best possible outcomes for clients, and you meet the qualifications listed above, we would love to hear from you. Please submit your CV and a cover letter detailing your relevant experience and why you are interested in joining our team.
