Financial Planning Compliance Officer
Salary
40,000-50,000
Location
Coventry
Job Type
Full Time
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I am working on an exciting opportunity with a Chartered Independent Financial Advice firm who are proud of doing things a bit differently. With their head office based in between Birmingham and Coventry, they are easily accessible from either location. This is a salaried role with a genuine focus on work-life balance and ethical practices.
They are looking to bring an experienced Compliance Officer / Compliance Manager into their business to work with their existing team to maintain the excellent levels of service that they pride themselves in. This role will be focussed on taking over the day to day compliance function of the business. The opportunity has arisen as the current compliance officer is moving across into a regulated financial planning position.
The company has a strong reputation as a leading Midlands firm of Chartered Independent Financial Advisers, they offer a full range of financial and tax effective solutions and advice on investment portfolios, pension and tax planning and wealth management solutions.
As a business, they have a strong focus on Employee Benefits work which has, in turn, led to a successful chartered financial planning running alongside. They were established with the aim of helping all businesses to be recognised in their industry and by their employees as an “Employer of Choice”. They believe that at the core of every successful business is an effective employee benefits strategy that seeks to balance the differing needs of employees with an employer’s desire to attract, motivate, retain and reward the best employees as cost-effectively as possible.
Due to their excellent reputation in this market, they are often requested to offer directors, entrepreneurs, senior management and staff advice on their personal wealth. Therefore as well as offering employee benefits strategies they also offer individual wealth management so they have the ability to cover both employee pension schemes and individual savings plans.
This is a company that is proud to have achieved Chartered Status and will fully fund and support you in your studies to achieve this qualification yourself if you haven’t already.
General role responsibilities;
- Take over the day to day compliance function
- Interpret and communicate the latest relevant regulatory, legislative and industry standard changes. Create and update company compliance policies and procedures.
- Staff training to ensure the companies in-house structure is maintained along with adhering to the FCA’s guidelines.
- File checking to maintain a consistently high level of service is provided to their clients across the board.
- A minimum of Level 4 Diploma Qualification in Financial Planning
- Confident Communicator
- Someone who prides themselves in the quality of their work
- Loyal and friendly individuals
- A career for life
- A welcoming and friendly team
- A genuine focus on work-life balance – Everyone finishes at 1.30pm on a Friday!
- Free parking