Address
SalaryIf you want to contribute to our business success, we will consider your CV even if we are not currently advertising for a specific role. We are always open to flexible and part time working, and many staff already structure their hours to suit life outside the office.
To find out more, please send your CV directly to jane@laithwaiteifa.co.uk and we will be in touch.
Salary:Negotiable
Location: Woking, Surrey
The role
As Compliance Officer you will identify, assess and manage regulatory risks, presenting pragmatic solutions that benefit our clients and the business. You will work closely with financial advisers, paraplanners and the administration team to ensure that compliant best practice underpins our business. The role would suit someone with experience of file reviews and a background of assessing the suitability of advice / suitability reports. You will also be comfortable staying on top of regulatory changes and providing relevant updates and training to the financial planning team and support staff.
Typical responsibilities
- Monitoring paraplanning, suitability, client files and advice, offering constructive feedback as appropriate
- Regulatory reporting including Gabriel returns, professional standards and competency, report & accounts
- Advising on practical compliance with regimes such as Consumer Duty, GDPR, MiFID II and SM&CR
- Create, edit and maintain accurate and up to date compliance records, register and procedures
- Provide guidance to advisers and support staff
- Deliver training and presentations to colleagues to increase compliance knowledge and awareness
- Assist with compliance induction for new employees
What we offer
- Pension,
- Discretionary annual bonus
- Flexible hours, potential to work from home
- Death in service benefit
- Support with career development and qualifications
- Sociable, friendly and professional office environment
- Free parking
Ideal candidate
- Level 4 Diploma, familiarity with FCA requirements for an authorised IFA firm
- A good understanding and knowledge of FCA rules around investments, pensions including DB transfers and protection
- Experience of conducting ongoing file reviews
- Conscientious and diligent, likely to have at least three years’ experience in a similar role
- Able to support and motivate others whilst being sensitive to their roles and priorities
- A confident and positive ‘can do’ approach to this standalone role
- A knowledge of Intelligent Office
To apply
To apply for this role, please email your CV to jane@laithwaiteifa.co.uk
