Compliance Monitoring Officer - Solihull/ Home based - Salary to £36,000 plus bonus and benefits
MBF Recruitment are working with a West Midlands based firm of Chartered Financial Planners who are currently recruiting for a Compliance Monitoring Officer for their team.
The role is mainly home based, with the successful candidate required to attend the office only once a week on a rotation basis with other staff.
- Working alongside the Operations Director, your role will be to assist in implementing the company's Compliance Monitoring & T&C plan
- file checks (both pre-authorisation and post)
- Delivering MI for senior management to assist in the running of the business
- Perform the role of T&C supervisor in assessing adviser competency, through observations, 1;1's and testing
- Provide due diligence on proposed providers, products and funds to be added to the panels
- Experience working within the Financial Planning/ Financial Advice sector is essential
- Ideally candidates will have previous experience working in a compliance or T&C focused role, with a keen interest in this area
- File Checking experience would be preferred
- Ideally you will be Diploma Qualified, although this is not essential
- Basic salary of up to £36,000 plus company benefits
- Very flexible working - mainly home-based role, only 1 day per week in the office
- Opportunity to progress within a growing business, working directly alongside decision makers