Compliance Officer (Financial Planning Practice)
Leicestershire
Salary up to £35,000
Death in service
Fully funded staff events
Hybrid working
We are representing a credible Firm of Independent Financial Planners who have a large presence throughout the Midlands. This is an employed desk-based role, providing Training and Competence supervision and assisting the Senior Compliance Manager for a medium sized, friendly Independent Financial Services company based in the Leicester area. The role will involve Training and Competence support for a number of Independent Financial Advisers (IFAs) and preparing KPI results to discuss at Training & Competence (T&C) monthly meetings.
Responsibilities
1. Train and coach experienced and new IFAs on the PSA Advice process.
2. Observe and provide feedback to advisers using the PSA Observation Guide.
3. Support and develop trainee IFAs as required.
4. Check trainee advisers' advice pre-sale until signed off as per the T&C Scheme.
5. Supervise a team of IFAs with various experience and skills and complete 1-1s as required.
6. Summarise findings to discuss at monthly Compliance T&C meeting.
7. Feedback to the compliance team if areas not meeting standards are identified.
8. Report any findings of non-compliance or issues that could cause client detriment to the Senior Compliance Manager and carry out remedial action promptly and appropriately.
9. Support the Senior Compliance Manager when required.
10. Participate in other special projects of investigation and compliance support when required.
11. Comply with the Financial Services and Markets Act 2000 and the relevant FCA rules at all times.
12. Adhere to the relevant compliance, TCF, T&C, and financial crime (anti-money laundering, data security, anti-bribery, fraud and corruption) procedures of the company at all times.
You will need to have industry related experience to be considered and ideally be Level 4 Diploma qualified OR working towards.
Medlock Partners are a professional services recruitment specialist operating across the Northwest of England. We are proud to be an equal opportunities employer and encourage applications from candidates of all backgrounds and circumstances, including minorities and those with disabilities.
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