Compliance Officer - Wealth Management
- Recruiter
- Search Consultancy
- Location
- Harrogate, UK
- Salary
- Competitive salary
- Posted
- 16 Apr 2021
- Closes
- 24 Apr 2021
- Ref
- 2122869168
- Job role
- Compliance/risk
- Sector
- Accounting - Public practice
Search Consultancy is working with a leading established family run independent financial & wealth management business based in Yorkshire that are currently looking to hire a regulated Compliance Officer.
The role is broad and covers many areas and requires someone who is comfortable in wearing many different hats.
As the Compliance officer some of your responsibilities will include keeping up to date with regulatory developments and advising senior management of regulatory issues and changes. You will also be responsible for ensuring the competence of advisers is both demonstrated and maintained.
Some of the other aspects of the role include, ensuring that the Company's recruitment policies meet the regulatory requirements of the FCA and are adhered to and organising Director's meetings, preparing documentation and minutes of meetings.
Other responsibilities will include:
We are looking for candidates with prior compliance experience and the ability to take on the duties mentioned above. The role is regulated so you will need to have a Level 4 Diploma - (CII plus JO7.) Prior experience of working in an agile environment high desirable along with the ability to manage and prioritise your workloads.
Please forward your CV for more details.
Search is an equal opportunities recruiter and we welcome applications from all suitably skilled or qualified applicants, regardless of their race, sex, disability, religion/beliefs, sexual orientation or age.
The role is broad and covers many areas and requires someone who is comfortable in wearing many different hats.
As the Compliance officer some of your responsibilities will include keeping up to date with regulatory developments and advising senior management of regulatory issues and changes. You will also be responsible for ensuring the competence of advisers is both demonstrated and maintained.
Some of the other aspects of the role include, ensuring that the Company's recruitment policies meet the regulatory requirements of the FCA and are adhered to and organising Director's meetings, preparing documentation and minutes of meetings.
Other responsibilities will include:
- Ensure that all new Approved Persons receive regulatory approval before commencing duties
- Ensure findings from client file reviews are recorded as part of the company's management information and reacted to by senior management, where necessary
- Review any delegated activities on an on-going basis to ensure they are undertaken adequately and meet the Company's needs.
- Ensure that any financial promotions are approved in accordance with the regulatory rules, and staff is aware of the Company's procedures.
- Ensure adequate PI cover is in place
We are looking for candidates with prior compliance experience and the ability to take on the duties mentioned above. The role is regulated so you will need to have a Level 4 Diploma - (CII plus JO7.) Prior experience of working in an agile environment high desirable along with the ability to manage and prioritise your workloads.
Please forward your CV for more details.
Search is an equal opportunities recruiter and we welcome applications from all suitably skilled or qualified applicants, regardless of their race, sex, disability, religion/beliefs, sexual orientation or age.
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