Field Based Compliance Officer

My client is currently looking for a Field Based Compliance Officer in London.

The successful candidate will be responsible for providing external file reviews to clients. The file reviews will mainly be for medium to large financial services businesses. The Compliance Monitoring Officer will also be responsible for providing feedback to clients with reference to files reviewed and compliance issues raised, along with developing and maintaining a professional relationship with clients.

• Field and home based role
• Undertake compliance file review audits on clients
• Deliver suitability assessments on client files in line with service level agreements
• Generate reports, KPIs and development meeting notes for clients as required
• Respond to client queries in a timely, clear and concise manner, setting customer expectations in respect of timescales anticipated and recording information in line with business standards
• Provide oral feedback to clients in respect of compliance file reviews as required
• Provide a prompt and professional level of service consistent with the level of service offered by the rest of the business
• Maintain a CPD record in line with FCA requirements for regulated individuals
• Generate reports and summaries of thematic reviews/file assessments as requested by the Head of Compliance
• Undertake project work in relation to thematic reviews and other compliance issues as required
• To maintain up to date and accurate knowledge in all regulatory and legislative areas required for file reviews

Qualifications/experience:

• Experience in a compliance/technical area of an IFA business or similar role
• Detailed knowledge of regulatory framework required to carry out client file reviews
• Level 4 qualified
• Desire to maintain competency in line with legislation and technical changes within the industry
• Good interpersonal skills and a team player
• Driving licence
• Experience of suitability report production and systems used by IFAs to generate suitability reports and supporting documentation, (e.g. Intelligent Office, First, O&M Systems)
• Experience of providing feedback to IFAs in relation to client file quality or T&C issues
• Good working knowledge of Microsoft Office and Excel

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.