Compliance Officer - Financial Services Hybrid/Remote

ZipRecruiter; England; Remote; GBP 40,000 - 55,000; Full time

Job summary

A leading financial services company in Horsham is seeking an experienced IFA Compliance Officer/Supervisor. This full-time, permanent role involves reviewing client files, ensuring compliance, and fostering a positive compliance culture. The position allows for remote work with quarterly office visits.

Qualifications

• Compliance experience from an IFA firm required.
• Level 4 Dip qualified or nearing qualification.

Responsibilities

• Reviewing client files for suitability and compliance.
• Identifying breaches and reporting to the Compliance Manager.
• Conducting risk evaluations and audits.

Skills

Compliance

Regulatory Adherence

Risk Assessment

Education

Level 4 Diploma

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 involved in:

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

Applicants 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.