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Compliance Officer

  • Salary: £28000 - £35000 per annum + Benefits
  • Location: Sutton Coldfield, West Midlands
  • Sector: Compliance
  • Job type: Permanent
  • Date posted:
    10 Dec 2019
  • Job reference: 33406

Are you tired of commuting to Birmingham and now want a local role within walking distance of a Sutton Coldfield train station with parking?

Do you want to work flexible hours?

Maybe you want to move from quality assurance to a Compliance Managers role?

This IFA practice with an excess of 300 years combined experience that you can draw on to develop your own skills and expertise.


  • On-job training, with a view to taking on the Compliance Manager role over next 24 months
  • Friendly and flexible culture
  • Car parking and close to Sutton Coldfield train station
  • Payment and support towards further qualifications
  • DIS
  • Pension contribution
  • Holiday pay

The role

  • Checking a sample of files for new business transacted. Feedback to Advisers on the outcome and any remedial actions required. Follow up to ensure remedial actions are completed in a timely manner
  • Compile and collate key performance indicator (KPI) data and management information required to monitor Adviser performance and ongoing competency
  • Conduct periodic 1-2-1s with Advisers to feedback on performance, highlight strengths and development areas, record results and provide coaching and training as appropriate
  • Present on compliance matters to Advisers and staff at team meetings, or as and when required
  • To compile MI reports on any areas outside compliance (e.g. late suitability reports, expired financial promotions etc). so that these are bought back under compliance
  • Produce formal six-monthly compliance and AML reports for the firm's senior management
  • Produce six monthly TCF reports for the firm's senior management (and all supplementary forms/documentation accompanying these)
  • Complaint handling - i.e. initial logging of any complaints received, PI Insurer notification, investigating the complaint and communicating the outcome to the complainant
  • Maintain accurate, detailed and up to date records across all the above areas
  • Deputise for Compliance Manager during holidays, absences etc.
  • Act as a consultancy/helpdesk for ad hoc compliance queries raised by staff

Relevant skills and responsibilities

  • Previous compliance knowledge or experience - e.g. from working in a compliance team, file checker, Paraplanner or possibly audit
  • Minimum FPC and CeMAP qualifications, plus R01. Preferably full Level 4 Diploma qualified, or if not, working towards this
  • Looking to forge a long-term career in compliance
  • Builds positive relationships but not afraid to delve deeper to obtain further information, challenge where appropriate or feedback unpalatable messages to individuals at all levels
  • Organised and analytical with an ability to see the bigger picture
  • Able to manage multiple day to day tasks and prioritise workload
  • Able to write high level reports and handle complaints from start to finish
  • Able to understand what compliance means to multiple stakeholders in the advice process

Visit the IDEX Consulting Ltd website for further opportunities. We value diversity and always provide guidance based on merit. Please note that the information supplied may 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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