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Compliance Officer (Financial Planning Practice )
Leicestershire
Salary up to to £35,000
Death in service   
Fully funded staff events
Hybrid working
 
We are representing a credible Firm of Independent Financial Planners who have a large presence throughout the Midlands. This is an employed desk-based role, providing Training and Competence supervision and assisting the Senior Compliance Manager for a medium sized, friendly Independent Financial Services company based in the Leicester area. The role will involve Training and Competence support for a number of Independent Financial Advisers (IFAs) and preparing KPI results to discuss at Training & Competence (T&C) monthly meetings.
 
Responsibilities

Train and coach experienced and new IFAs on the PSA Advice process.
Observe and provide feedback to advisers using the PSA Observation Guide.
Support and develop trainee IFAs as required
Check trainee advisers advice pre-sale until signed off as per the T&C Scheme.
Supervise a team of IFAs with various experience and skills and complete 1-1’s as required.
Summarise findings to discuss at monthly Compliance T&C meeting.
Feedback to the compliance team if areas not meeting standards are identified.
Any findings of non-compliance or issues that could cause client detriment need to be reported to the Senior Compliance Manager and if remedial action is required this should be carried out promptly and appropriately.
Support the Senior Compliance Manager when required.
Other special projects of investigation and compliance support when required.
Comply with the Financial Services and Markets Act 2000 and the relevant FCA rules at all times.
Comply with the relevant compliance, TCF, T&C and, financial crime (anti-money laundering, data security, anti-bribery, fraud and corruption) procedures of the company at all times. You will need to have industry related experience to be considered and ideally be Level 4 Diploma qualified OR working towards.
 
Medlock Partners are a professional services recruitment specialist operating across the Northwest of England. We are proud to be an equal opportunities employer and encourage applications from candidates of all backgrounds and circumstances, including minorities and those with disabilities. Please note our advertisements use years’ experience and salary levels purely as a guide. We are happy to consider applications from all candidates who are able to demonstrate the skills necessary to fulfil the role. If you do not hear from us within 48 hours, please assume that your application has been unsuccessful on this occasion