Compliance Officer - Financial Services Hybrid/Remote

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

Job summary

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

Qualifications

• Experience from an IFA firm required.
• Level 4 Dip qualified or close to it.

Responsibilities

• Review client files for suitability and compliance.
• Identify breaches and report to Compliance Manager.
• Conduct audits and risk evaluations.

Skills

Compliance

Risk Assessment

Education

Level 4 Dip 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 engaged in:

• Reviewing client files to ensure suitability, good consumer outcomes, and adherence to regulatory and company requirements; identifying and requiring remedial action from member firms 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 close to it.

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