Feb 16, 2017
The Company: I am currently working on behalf of a nationally renowned financial advisory firm who are looking to add a Compliance Officer into their Leeds city centre based team. My client is a truly independent financial advice firm who adopt a very personal, tailored approach to financial planning and require an experienced financial services professional to join their team. Their core market is private wealth inclusive of investments, pensions, protection & IHT/tax planning) with a professional focused, targeted client base being the foundation of their continued development as a firm. The Role: Reporting into the Operations Manager directly the role itself is very broad across a full internal compliance and risk in company with a smattering of a marketing/financial promotions remit. Essentially my client requires a compliance /risk focused industry professional to support the business in ensuring it complies with its obligations in relation to the regulatory bodies such as the FCA and ICO, with duties and responsibilities including: - The identification, investigation and response to complaints - Review and sign-off of financial promotions - Conduct file reviews and call observations, as required and in line with annual compliance monitoring plan requirements assisting with the firms policy dissemination, eLearning and fit & proper arrangements to ensure the administration of both remain up to date - Marketing strategy management (online/intranet) and internal MI compilation and distribution - Assisting with the development of documented processes and procedures across the business, encompassing the identification of risk and controls and monitoring adherence reporting any issues and/or risks - Internal marketing support to breadth of adviser base The Person: Applicants must have detailed knowledge of, and exposure to a compliance function within financial advice, ideally the private wealth sector and have 2+ years' experience of perform that technical support role. Candidates must be qualified or at the very least progressing with industry qualifications (QCF level 4) and it is essential that you have some experience of working with private wealth casework. The complaints handling and general compliance/AML oversight aspects to this role are paramount so ideally you will come some exposure to developing these internal processes, but also some hands-on day to day experience of working within risk. Candidate Benefits: My client offers a professional working environment with tangible opportunities to study, develop your technical knowledge/skill-set and take on additional responsibilities across internal compliance, policy and risk. Personal and career progression will be actively encouraged too with full study support available (exams/study paid for etc.) in addition to a very hands-on, busy day to day role. I am keen to encourage applications from developing internal compliance people so to explore further, or discuss confidentially in the first instance please call me on ************/************ or alternatively email your CV to ******************.
Selection Group Ltd Leeds, West Yorkshire, UK Full time