Compliance Officer/File Review IFA

$44,307 - $50,636 yearly
  • CV Library
  • Shoreham-by-Sea, West Sussex
  • Mar 22, 2024
Permanent Location: Office

Job Description

Our client is a successful and established multi branch Financial Services company and they are currently looking for a Compliance Officer to join the team The successful candidate will ideally be based in Shoreham but we could look at a base at the other offices Previous experience required in financial services, ideally a wealth management/financial planning/IFA environment is preferable rather than a restricted business Ideally you will have experience in a compliance role and ideally started studying towards the CII Diploma in Financial Planning - particularly with R01, R02 and R04 as a minimum You will report into the compliance manager and the main part of the role will consist high-level file checking you will be assisting with training and competency supervision such as reviewing KPIs, CPD, training and development plans for IFA's and mortgage advisors, maintain records and logs on compliance areas such as SPS's, complaints, data breaches, qualifications etc Salary £(phone number removed) DOE and qualifications plus benefits package, immediate start Please note this is an office based role and only geared towards someone from an IFA environment In order to view more information on this job press the APPLY NOW button below and it will take you to the source website

Working Hours

Full Time

Salary by Currency

This role in US Dollars has a minimum of $44,307 to a maximum of $50,636. In British Pounds it has a minimum of £35,000 to a maximum of £40,000. In Australian Dollars it has a minimum of $67,422 to a maximum of $77,053.

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