A market leading Financial Planning organisation are currently seeking to recruit a Compliance Officer to join their South West operation. The firm are well known and have an excellent reputation, they are looking for an experienced individual who can undertake file reviews and ensure all advice meets regulatory requirements.
You will be required to work closely with the Business Quality Manager to review pre and post advice files, ensuring they meet both the business and FCA regulations and to provide feedback to the firms Financial Advisers. To be considered you should be working within a similar role and will be at least Diploma qualified, candidates who are Chartered or studying towards will have an advantage.
This is an excellent opportunity to join a medium sized, growing firm that work at the top end of the market. You will be offered a highly competitive basic salary plus bonuses and good company benefits.