Part Time IFA Compliance Officer

  • Location
    Chelmsford, Essex
  • Category
    Financial Services - Compliance
  • Contract Type
  • Salary
  • OrganizationType

Part Time IFA Compliance Officer

£33.50 per hour
Chelmsford, Essex

20 hours per week

My client, a professional independent financial advisors based in Chelmsford is seeking a Compliance Officer with previous experience within a similar role to join their team on a part time, permanent basis, working 20 hours per week.

The ideal candidate will have experience working in a Compliance role within an IFA, and hold Level a 4 Diploma in Financial Planning.

Responsibilities include:

  • Overall responsibility (SMF16) for day to day compliance of the business under the guidance of Simplybiz- Including responsibility for implementation of Consumer Duty and maintenance of Senior Management and Certification Regime

  • Chairing Senior Management meetings

  • Completion of Financial Resilience surveys

  • Ensure the existing and new business processes and documentation meet current regulation and are fully version-controlled

  • Responsible for co-ordinating compliance file checks with Simplybiz and Financial Advisers

  • Undertaking Fact Find and Adviser Observations

  • Responsible for undertaking adviser KPIs and Development Actions plans and ensuring their CPD / SPS is up-to-date

  • Maintaining and updating Compliance records

  • Responsible for updating FCA register as required

  • Responsible for ensuring that staff are informed of any new relevant regulation and updating staff in monthly team meetings

  • Facilitating compliance file checks and chasing Advisers for missing information

  • New starter documentation process

  • Facilitating annual compliance tests

  • Liaise with Simplybiz on bi-annual visits / audits

  • Responsible for assisting Finance Director on GABRIEL returns (RegData)

  • 3rd party checks and introducer agreements

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To speak to a recruitment expert please contact Charlotte Sayer