Back to search
- Compliance Consultant (part-time)
- Godalming/Guildford (Surrey)
- Working with HNW & UHNW clients
- Boutique Chartered IFA firm
My client is a wealth planning practice based outside Guildford who have been operating for 15+ years, and I have placed 6 members of staff into the business. They have an excellent reputation providing very solid financial advice to both private and corporate clients who lives in Surrey, Sussex & Hampshire. They have a large book of business (close to £300m AUM) who are City professionals, families, retirees, and business owners with £500k to invest with their top customer holding £20m+ to invest. This boutique firm has a team of Chartered Advisers and a full administrative and paraplanning team. The business is thriving with plenty of new clients being onboarded and with large expansion plans and with this comes compliance requirements.
The Managing Director is seeking a brand-new compliance professional to assist the Office Manager/Practice Manager on a part-time basis with all matters pertaining to compliance: this may include but not limited to:
- Act as the primary point of contact for all compliance matters within the firm
- Maintain and develop the firm’s Compliance Monitoring Programme
- Conduct regular file checks and audits to ensure advice given is suitable and compliant.
- Oversee the firm's policies and procedures, ensuring they remain current and fit for purpose
- Prepare and submit regulatory returns to the FCA
- Keep the team informed of relevant regulatory updates and deliver internal training where needed.
- Support with client complaints handling and liaison with the Financial Ombudsman Service, if required.
- Work closely with advisers and support staff to promote best practices and mitigate compliance risks.
- Assist with the implementation of Consumer Duty obligations and other evolving FCA initiatives
The role will be office based to begin with but once you are settled into the role you can work from home more. The Directors are very open minded to the working hours of a new member staff and what setup your role would take i.e. employed, self-employed, contractor etc. Salaries are negotiable for the right role. If this role sounds of interest or any other roles, I am working on please get in touch.
