Compliance Officer - Financial Services Hybrid/Remote

ZipRecruiter; Croydon; Remote; GBP 40,000 - 60,000; Full time

Job summary

A leading financial services company in Horsham is seeking an experienced IFA Compliance Officer/Supervisor to support a team of IFAs. This full-time role includes reviewing client files for compliance, reporting misconduct, and fostering a strong compliance culture while offering flexible remote work options with quarterly office visits.

Qualifications

• Candidates must have compliance experience from an IFA firm.
• Must be Level 4 Dip qualified or nearing qualification.

Responsibilities

• Review client files for regulatory compliance.
• Identify breaches and report compliance failures.
• Prepare action plans following audits.

Skills

Compliance experience

Risk assessment

Attention to detail

Education

Level 4 Diploma in Financial Services

Job description

Job Description

Our client is a specialist financial services company based in Horsham, currently seeking an experienced IFA Compliance Officer/Supervisor to join their team.

This is a full-time, permanent role within their compliance department, supporting a team of IFAs.

This position offers a great opportunity to join a market-leading company working with:

• Reviewing client files to ensure suitability, good consumer outcomes, and compliance with regulatory and company requirements; identifying and requesting remedial actions from member firms when necessary.
• Identifying breaches or misconduct by firms and individuals, and reporting any training or compliance failures to the Compliance Manager.
• Providing feedback and preparing action plans following audits, conducting risk evaluations of individuals and firms, and performing overall risk assessments based on audit findings.
• Assisting in fostering a positive compliance culture across the group.

Candidates must have compliance experience from an IFA firm and be Level 4 Dip qualified or nearing qualification.

There will be a minimum of quarterly visits to the Horsham office; otherwise, the role is remote.