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SalaryPart Time IFA Compliance Officer
£33.50 per hour
Chelmsford, Essex
20 hours per week
My client, a professional independent financial advisors based in Chelmsford is seeking a Compliance Officer with previous experience within a similar role to join their team on a Part Time, permanent basis, working 20 hours per week.
The ideal candidate will have experience working in a Compliance role within an IFA, and hold Level a 4 Diploma in Financial Planning.
Responsibilities include:
- Overall responsibility (SMF16) for day to day compliance of the business under the guidance of Simplybiz- Including responsibility for implementation of Consumer Duty and maintenance of Senior Management and Certification Regime
- Chairing Senior Management meetings
- Completion of Financial Resilience surveys
- Ensure the existing and new business processes and documentation meet current regulation and are fully version-controlled
- Responsible for co-ordinating compliance file checks with Simplybiz and Financial Advisers
- Undertaking Fact Find and Adviser Observations
- Responsible for undertaking adviser KPIs and Development Actions plans and ensuring their CPD / SPS is up-to-date
- Maintaining and updating Compliance records
- Responsible for updating FCA register as required
- Responsible for ensuring that staff are informed of any new relevant regulation and updating staff in monthly team meetings
- Facilitating compliance file checks and chasing Advisers for missing information
- New starter documentation process
- Facilitating annual compliance tests
- Liaise with Simplybiz on bi-annual visits / audits
- Responsible for assisting Finance Director on GABRIEL returns (RegData)
- 3rd party checks and introducer agreements
Office Angels acts as an employment agency for permanent recruitment and an employment business for the supply of temporary workers. Office Angels UK is an Equal Opportunities Employer.
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