Compliance Officer - Financial Services Hybrid/Remote

ZipRecruiter; Horsham; Hybrid; GBP 35,000 - 60,000; Full time

Job summary

A leading financial services company in Horsham is seeking an experienced IFA Compliance Officer/Supervisor to strengthen their compliance team. This full-time, permanent role includes responsibilities such as reviewing client files for compliance, risk evaluations, and promoting a positive compliance culture. Candidates must have a strong compliance background from an IFA firm and be Level 4 Dip qualified or working towards it.

Qualifications

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

Responsibilities

• Review client files to ensure compliance with standards.
• Identify breaches or misconduct and report failures.
• Provide feedback and conduct risk evaluations.

Skills

Compliance experience

Risk evaluation

Audit feedback preparation

Education

Level 4 Dip qualified or nearing qualification

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 standards, including identifying and addressing remedial actions where 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.