Compliance Officer - Financial Services Hybrid/Remote

Astral Recruitment; Maidstone; Remote; GBP 40,000 - 60,000; Full time

Job summary

A leading financial services company seeks an experienced Compliance Officer to ensure adherence to regulatory standards. This full-time, permanent role involves reviewing client files, identifying compliance issues, and fostering a positive compliance culture. The position offers remote work flexibility with quarterly office visits.

Qualifications

• Experience in compliance from an IFA firm.
• Level 4 Dip qualification or close to it.

Responsibilities

• Review client files for suitability and compliance.
• Identify breaches and report compliance failures.
• Conduct audits and prepare action plans.

Skills

Compliance

Regulatory Requirements

Risk Assessment

Education

Level 4 Dip

Job description

Compliance Officer - Financial Services Hybrid/Remote

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 supporting a team of IFA's within the compliance department of a market-leading company.

The key responsibilities include:

1. Review client files to confirm suitability, ensure good consumer outcomes, and adherence to regulatory and company requirements. Identify and require remedial action from member firms where necessary.
2. Identify any breaches or misconduct by firms and individuals, and report any training or compliance failures to the Compliance Manager.
3. Provide feedback and prepare action plans for firms and individuals following audits. Conduct risk evaluations of personnel and overall risk assessments of the firm based on audit findings.
4. Assist in embedding 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.