Compliance Officer

  • Location

    Leicester, Leicestershire

  • Sector:

    Financial Planning

  • Job type:

    Permanent

  • Salary:

    £25000 - £40000 per annum + Bonus and Benefits, negotiable

  • Contact:

    David Everingham

  • Contact email:

    deveringham@mbfitzgerald.co.uk

  • Job ref:

    BBBH2390_1582553686

  • Published:

    9 months ago

  • Expiry date:

    2020-03-25

  • Consultant:

    #

MB Fitzgerald are currently working with a successful and well established firm of Independent Financial Advisers in Leicester who are looking to recruit an experienced, Level 4 qualified Compliance Officer to their team.

The role, working alongside the Compliance Manager, is to ensure that risks are managed and the advice that the advisers give is of high quality and meets FCA standards.
We are looking for a Compliance professional who has experience of working with fee based financial advisers. Ideally you will come from an IFA environment although the business will also consider ex file review contractors looking to go permanent following the changes with IR35.

Main duties
  • Help ensure that the company maintains accurate, detailed and up to date compliance records across all areas of the company's business
  • Help ensure the company can respond to requests for information from the FCA and provide the requisite notifications to the FCA
  • Help ensure appropriate ethical standards exist within the company
  • Help ensure knowledge of the necessary regulatory requirements is kept up to date
  • Help ensure the company continues to meet its threshold conditions (COND)
  • Report to the company's Compliance Manager on a regular basis on all relevant compliance issues
  • Comply with the Financial Services and Markets Act 2000, the FCA Statements of Principle & Code of Practice and the relevant FCA rules at all times
  • Comply with the relevant compliance, TCF, T&C and financial crime (anti-money laundering, data security, anti-bribery, fraud and corruption) procedures of the company at all times
The company are willing to pay a generous salary and benefits package including 10% Pension, 25 days holiday, DIS and Bonuses.