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Compliance Officer - Financial Services Hybrid/Remote

Compliance Officer - Financial Services Hybrid/Remote

Astral Recruitment

Posted 13 days ago, valid for 10 days

Horsham, West Sussex RH13 0NE, England

Full Time

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Sonic Summary

Our client, a specialist financial services company based in Horsham, is seeking an experienced IFA Compliance Officer/Supervisor for a full-time permanent role in their compliance department.
The position involves reviewing client files for suitability and adherence to regulatory requirements, as well as identifying breaches or misconduct and reporting compliance failures.
The successful candidate will provide feedback, prepare action plans following audits, and assist in fostering a positive compliance culture across the organization.
Applicants must have compliance experience from an IFA firm and be Level 4 Dip qualified or nearing completion.
The salary for this role is competitive, and the position requires a minimum of three years of relevant experience, with quarterly visits to the Horsham office required; otherwise, the role is remote.

Our client is a specialist financial services company based in Horsham and they are currently looking for an experienced IFA Compliance Officer/Supervisor to join the team

We have a full time permanent role linked to a business in Horsham working in their compliance department. supporting a team of IFA's

This is a great opportunity to join a market leading company dealing with :

Review client files to confirm suitability and good consumer outcomes and adherence to regulatory and Company requirements and identify and require remedial action from members firms where necessary.
To identify any Breaches or Misconduct by firms and individual and report any training/compliance failures to the Compliance Manager.
To provide feedback and prepare action plans for firms and individuals following any audit and to complete risk evaluation of everyone within the firm and an overall risk assessment of the firm based upon the findings of any audit.
To assist in embedding a positive compliance culture across the Group

You must have compliance experience from an IFA firm and be Level 4 Dip qualified or close to it

There will be minimum once per qtr visits to the Horsham office otherwise you will be REMOTE

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