Central Compliance & Policy Oversight Officer
Salary
50,000 - 60,000
Location
Horsham
Job Type
Full Time
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Job Title: Central Compliance & Policy Oversight Officer
Industry: Financial Advice
Location: Horsham
Salary: £50,000 – £60,000
Reference Number: 14316
Job Description:
Recruit UK are working on an excellent opportunity for a Central Compliance & Policy Oversight Officer in Horsham to join a Financial Advice practice.
This is an exciting role within a rapidly growing company, they started as a small company in Horsham town center, since they first started the company has rapidly grown from a small IFA to a national 360 holistic financial planning offering. This is a unique opportunity for the right individual to take full control of processes and help forge this company’s future, leaving your mark on every element of their processes.
Using FCA guidelines you will apply a risk-based and common-sense approach to the compliance monitoring and policy-based processes. You will also undertake appropriate reviews, ensuring that the findings are accurately recorded and handled appropriately to mitigate associated risks and be administering Group policies and assist in defining relevant procedures and controls
What’s in it for you:
- An attractive salary up to £60,000
- Be involved with a dynamic and interactive role where your input has a real impact on the future of this company
- Holiday entitlement starts at 22 days, rising to 25 days plus bank holidays (1 day with each completed year of service)
- Onsite parking (Horsham)
- Up to 5% matched employer pension contribution
- Private healthcare
- Death in Service which is up to 4 x basic salary
- Critical Illness Cover up to 2 x base salary
- Life Assurance
- Employee Shares Scheme: Eligibility after 1 year’s continuous service, the number of shares available each year is decided by the Board of Directors. There is no fee for the shares as they are a gift from the Company.
- Minimum of level 4 Diploma in regulated financial planning (or equivalent), with significant progress towards the achievement of further qualifications desired
- Significant compliance experience within the financial services, preferably in an investment or insurance environment. An in-depth understanding of FCA/PRA regulatory expectations
- Experience working with a network of financial advisers and/or an investment platform
- Start every journey with a conversation to find out about you in-depth.
- Provide honest feedback on where you fit in the job market.
- Use our network across the financial world to match you to your perfect position. Or if we think you already have it, we’ll tell you.
- Take a holistic mindfulness approach – career happiness is rarely just about the money.
- Cover the whole of the UK with a local touch through our regional teams.
- Never pester you.