Part Time IFA Compliance Officer

  • Location
    Chelmsford, Essex
  • Category
    Financial Services - Compliance
  • Contract Type
    Permanent
  • Salary
    £ 60000 - £ 70000 / Year
  • OrganizationType
    Office

Are you passionate about ensuring ethical conduct and regulatory adherence in the financial sector?


Do you thrive in dynamic environments where your expertise can make a significant impact? If so, we have an exciting opportunity for you to join our client's team as a Compliance Officer.


As an IFA Compliance Officer, you will be responsible for ensuring that the company adheres to all relevant laws, regulations, and industry standards governing the provision of financial advice. You will oversee compliance procedures and protocols to mitigate risks associated with financial advice and ensure the highest level of ethical conduct within the organization.


JOB TITLE: Compliance Officer


COMPANY: Financial Services


CONTRACT: Permanent


START: ASAP


LOCATION: Essex


HOURS: Part-time (20 hours per week, flexibility on days)


SALARY: Perm salary equivalent - £70,000


BENEFITS: Excellent benefits including on-site parking, monthly and quarterly discretionary bonus, annual performance related bonus, paid overtime, social events such as summer BBQ's and Christmas parties, career progression opportunities.


DUTIES INCLUDE BUT ARE NOT EXCLUSIVE TO:



  • Develop, implement, and maintain compliance policies and procedures in line with regulatory requirements and industry best practices.

  • Stay abreast of changes in financial regulations and ensure that the company's practices and procedures remain compliant with applicable laws and regulations.

  • Conduct regular audits and reviews of internal processes to identify areas of potential risk or non-compliance and develop strategies to address them.

  • Provide training and guidance to staff members on compliance-related matters to ensure a thorough understanding of regulatory requirements and ethical standards.

  • Manage the complaints handling process, ensuring timely and appropriate resolution of client complaints in accordance with regulatory requirements.

  • Prepare and submit regulatory reports and filings as required by relevant authorities, ensuring accuracy and timeliness.

  • Serve as the primary point of contact for regulatory inquiries and inspections, maintaining open communication and cooperation with regulatory authorities.

  • Identify and assess potential compliance risks to the business and implement strategies to mitigate those risks effectively.

  • Collaborate with other departments, such as legal, risk management, and operations, to address compliance issues and promote a culture of compliance throughout the organization.

  • Liaise with Third party on bi-annual visits / audits.


SKILLS, EXPERIENCE AND ATTRIBUTES REQUIRED:



  • Experience working in a Compliance role within an IFA.

  • Level 4 Diploma in Financial Planning or equivalent.

  • Strong analytical and problem-solving skills, with the ability to interpret complex regulatory requirements and apply them to practical business situations.

  • Excellent communication and interpersonal skills, with the ability to effectively communicate compliance requirements and influence stakeholders at all levels of the organization.

  • Detail-oriented with a high level of accuracy and integrity in work product.

  • Ability to work independently and collaboratively in a fast-paced, dynamic environment.

  • Proficiency in relevant software applications and tools used for compliance monitoring and reporting.

Office Angels acts as an employment agency for permanent recruitment and an employment business for the supply of temporary workers. Office Angels UK is an Equal Opportunities Employer.


By applying for this role your details will be submitted to Office Angels. Our Candidate Privacy Information Statement explaining how we will use your information is available on our website.

To speak to a recruitment expert please contact Rebecca Barrett