Compliance Officer – Financial Planning (Hybrid)

NJR Recruitment; East Midlands; Hybrid; GBP 35,000 - 45,000; Full time

Job summary

A reputable financial planning firm in the East Midlands is seeking a Compliance Officer to ensure compliance with regulatory requirements and internal policies. This role involves coordinating compliance activities and overseeing file reviews to maintain high standards of ethical advice. Ideal candidates will have experience in compliance within the financial services sector and strong organizational skills. The position is hybrid and offers a dynamic work environment.

Qualifications

• Up-to-date knowledge of compliance requirements in financial services.
• Ability to implement policies and procedures effectively.
• Strong attention to detail and organizational skills.

Responsibilities

• Maintain knowledge of compliance requirements.
• Coordinate internal application of policies and updates.
• Oversee advice file reviews in accordance with network expectations.

Job description

A reputable financial planning firm in the East Midlands is seeking a Compliance Officer to ensure compliance with regulatory requirements and internal policies. This role involves coordinating compliance activities and overseeing file reviews to maintain high standards of ethical advice. Ideal candidates will have experience in compliance within the financial services sector and strong organizational skills. The position is hybrid and offers a dynamic work environment.