Compliance Officer/File Review Ifa

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