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Compliance Officer

  • Salary: £30000 - £35000 per annum + Benefits
  • Location: City of London, London
  • Sector: Compliance
  • Job type: Permanent
  • Date posted:
    12 Oct 2018
  • Job reference: 31653

Are you a compliance professional, looking to reach the top as a Head of Compliance at your firm? Would you be happy working in a small friendly team with supportive Directors who listen? I have an exciting opportunity for a junior Compliance Manager to join a chartered, independent practice based in City of London who can offer exactly this.

Role
My client is looking for a Junior Compliance Manager to join their continuously growing chartered practice. This position supports and reports directly to the Head of Compliance, providing the fantastic opportunity for direct development and progression.

Responsibilities

  • Checking financial documentation for levels of compliance
  • Maintaining and accurately updating CRM records
  • Monitoring Advisers and giving feedback where necessary
  • Ensuring FCA and company guidelines are followed
  • Supporting the team with general duties to help reach the team's objectives


To be successful you will need

  • Experience in a similar position
  • Experienced with an FCA regulated organisation, preferably an IFA environment
  • Knowledge of FCA rules and regulation
  • Experience of suitability reports for financial planning
  • High level of attention to detail
  • Strong organisation skills


If successful, you will benefit from

  • A salary of up to £35,000, plus benefits
  • Working directly with the Head of Compliance to provide your career with development and direction
  • Annual away-day
  • A small team, led by supportive Directors who listen and appreciate



This is an excellent opportunity to progress your career with a professional practice, who have an excellent reputation for employee well being. If you match my client's requirements and you would be interested in progressing your career to Head of Compliance, then send across your CV and we will be in touch!

Please visit the IDEX Consulting Ltd website for further opportunities. If your application is successful, we aim to contact you to discuss the opportunity in more detail within 2 working days. 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. If your application is unsuccessful, the information supplied may still be retained for up to 3 years for use in connection with future vacancies. For full information on how we use your data, please visit the IDEX Consulting website and view our Privacy Policy.

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