⭐️ Senior Compliance Officer

Manchester

c.£60,000 + Benefits

We’re working with a well-established and growing IFA firm based in Manchester that is genuinely committed to developing its people. As part of continued growth, they’re looking to appoint a Senior Compliance Officer to support the Compliance Director,

Role & Responsibilities:

• File checking to check suitability of advice
• Call checking to check suitability of advice
• Assessing vulnerability characteristics and support needed
• Delivering feedback to advisers, paraplanners and Compliance Director
• Liaising with Compliance Director on individual cases as well as assisting them in developing, implementing and monitoring compliance policies and procedures
• When required speaking with clients via telephone or email to discuss and resolve issues before they are escalated to Compliance Director when appropriate.
• Providing support to departments across the business for ad-hoc queries
• Ensuring adherence to regulations, legislation and internal policies

Do you have the following to apply? ✅

• 3+ years Compliance experience within an IFA/Wealth Management firm
• Level 4 Diploma in Financial Planning (or equivalent)

Due to the high volume of applications received we are unable to respond to everyone directly. If you are not contacted within 7 working days, you have unfortunately not been shortlisted.

Clayton Davies is acting as an employment agency on behalf of our client.