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Compliance Officer

  • Salary: £25000.00 - £33000.00 per annum
  • Location: Hampshire
  • Sector: Financial Services
  • Job type: Permanent
  • Date posted:
    20 Jun 2017
  • Job reference: 28941
One of the South’s leading Wealth Management Adviser and Investment Managers are looking for an experienced Compliance Officer to join their growing team at Head Office in Hampshire.

The successful candidate will have previous experience working within Financial Services preferably in Compliance or Advisory sectors, hold a Level 4 Diploma qualification or similar.

Knowledge of FCA and Insurance Regulation as well as pension and investment business is essential and experience of regulated complaints handling and understanding of Treating Customers Fairly (TCF) would be an advantage.

The successful candidate will need to have excellent self organisational skills and be able to work under pressure.

Main Responsibilities:

* Regulatory file checking – pre and post sale approval
* Complaints handling. As Complaints Handler, you will be responsible for resolving complaints received from our customers. With excellent written and verbal skills, you will be expected to see a complaint through to the end and be able to communicate your investigations with third parties such as the Financial Ombudsman Service (FOS)
* Assist the Head of Compliance with the implementation of compliance policy and establishment of adequate in-house controls and compliance procedures
* Maintain close contact with management, discussing any compliance breaches, remedial action and providing advice as required
* Monitor outside developments in the wider financial services sector and the compliance industry
* Attend, as required, relevant workshops/meetings to maintain awareness of regulatory changes in compliance monitoring and risk management techniques

Please visit the IDEX Consulting Ltd website for further opportunities. If your application is successful we will contact you to discuss the opportunity in more detail within 2 working days of receiving your application. If your application is unsuccessful, the information supplied may still be retained for use in connection with future vacancies. Due to the overwhelming application response we receive through various sources, should you not hear from us within one week then please assume your application has been unsuccessful.
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