Compliance Officer

Top 100 chartered firm currently looking to grow the assurance team, to be a help point for the business on all compliance matters and lead the compliance culture across the firm.

• Participation in the advice guidance executive committee, offering constructive input into technical discussions to assist in the formulation of the group's advice guidance strategy
• Inclusion in project work, assisting in the development of advice and regulatory processes across the business
• Participation in adding value through direct discussion on complex financial planning cases with IFAs
• Assisting with the higher-level post-audit of advice provided by Advisers, where necessary
• Offering clear and considered decisions on cases which carry a high risk to the client, firm and the firm's IFAs
• Dealing with day-to-day advice and higher level regulatory queries from other departments, undertaking research, where necessary, in order to provide informed responses
• Financial promotions - Analysing proposed advertising content to assess technical and regulatory suitability
• Designing and delivering understandable and concise financial planning Report templates for use across the range of products and service provided, both personal and corporate, in order to deliver understandable and suitable financial outcomes to our clients
• Providing new business concessions, where necessary and referral to advice and regulatory administration for recording
• Completing regulatory industry update summaries for dissemination to the advice assurance co-ordinator
• Assisting the Advice Assurance Manager with new recruit inductions and training, as and when required
• Maintaining a high level of knowledge and technical understanding of all financial planning concepts and regulatory focuses through the completion of annual CPD
• Assistance with any departmental function as required

Requirements

• Diploma in Financial Planning as a minimum qualification requirement
• Willingness to take further qualifications, as relevant to your role
• Demonstration of excellent knowledge and interest in the concepts and requirements of personal and corporate financial planning
• Experience in the support of IFA's and other Advisers and in particular in the preparation and delivery of research and suitability reports
• Ability and willingness to make thorough and well-informed decisions in relation to advice cases that present a high risk to the business
• Excellent written and numerical skills and an exceptional communication style

Please visit the IDEX Consulting Ltd website for further opportunities. If your application is successful we will contact you to discuss the opportunity in more detail within 2 working days of receiving your application. If your application is unsuccessful, the information supplied may still be retained for use in connection with future vacancies. Due to the overwhelming application response we receive through various sources, should you not hear from us within one week then please assume your application has been unsuccessful.