Our client, a successful compliance consultancy firm, are looking for a Senior Compliance Officer to join their growing team. You will work closely with financial advisory firms and discretionary investment management firms to ensure all things are compliant.
Key Responsibilities:
* Undertake day to day client management including supportive consultancy, firm audits & file checks
* Be capable of dealing with in-depth and highly technical compliance queries
* Have a comprehensive knowledge of FCA Handbook
* Be required to read and summarise important industry papers
* MiFIDPRU Knowledge desirable
* Be able to draft internal technical papers and contribute to manual/toolkit development
* Have existing knowledge /experience of Discretionary Fund Management & Retail Financial Advisers
* Operate at client offices or from home
Experience Required:
* Be qualified in the Diploma in Financial Planning (or equivalent)
* Advanced CII Qualification(s) desirable
* Possess excellent communication and consultancy skills