Training and Compliance Officer – London and South East

recruitukltd Salary: up to £50k

We are currently working with an Independently owned, Chartered Financial Planners who have a presence across the South of England, providing holistic advice to a range of clients.  The last couple of years has seen a large amount of change within the business, but an increase in investment into their proposition.  Due to investment and acquisition, their financial planning arm is growing with plans to increase their funds under management by £2bn over the next couple of years.  They have the ability to take on circa 20 advisers on an employed basis and will provide them with a client bank to service.  In terms of their proposition, they were ahead of the game in 2012 and still remain progressive in terms of client servicing and remuneration to their financial planners.  They are a leading and reputable firm.

 

It is imperative that they ensure that their financial planners are fully supported; they seek a T&C officer to work alongside the Financial Planning Director and the Compliance Director, to assist with the ongoing training and development of their employees.  The purpose of the role will be to support the delivery of the T&C requirements of the firm, by conducting all T&C activities on a day to day basis.  The role will consist of an element of adviser development and training and supporting the monitor of the firm’s Appointed Representatives.

 

Duties of the role include:

 

  • To deliver the T&C requirements of the firm.  Attend client meetings, observing the Financial Planners and developing their ability to provide compliant and excellent client service.
  • Support the Compliance function by undertaking periodic audits of the ARs, in line with the Compliance Monitoring Plan, to ensure compliance with the Principals regulatory obligations.
  • Develop product, technical and regulatory knowledge to keep up to date with latest financial regulations.
  • Ensure the compliance procedure is adhered to at all times to protect and safeguard the company by meeting the regulatory aspects of the role

 

The successful candidate will need to be qualified to diploma Level 4 in financial advice, ideally hold a supervision qualification such as J07 or AF6 and have a good understanding of compliance processes.  You must have worked in a financial services environment previously and have T&C and management experience, ideally within the IFA sector.

 

My client is looking to pay up to £50,000 for the right individual, along with excellent employee benefits including 6% pension, rising to 8% in two years.

 

If you meet the above criteria please apply for the role, however, if you have questions, please contact Louise Sheppard at Recruit UK Ltd on 0117 917 0411 or email louise.sheppard@recruitukltd.co.uk, quote reference 11757

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