Compliance Officer - Financial Services Hybrid/Remote

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

Job summary

A leading financial services company is seeking an experienced IFA Compliance Officer/Supervisor to support their compliance department. This full-time role involves reviewing client files, identifying compliance issues, and fostering a positive compliance culture. The position offers flexibility with remote work, requiring only quarterly visits to the office.

Qualifications

• Experience in compliance from an IFA firm required.
• Level 4 Dip qualified or nearing qualification.

Responsibilities

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

Skills

Compliance

Risk Assessment

Education

Level 4 Dip

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 ensure suitability, positive consumer outcomes, and compliance with regulatory and company standards; 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 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.

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.