Dynamite Financial Services is seeking a talented and experienced Compliance Officer for this successful and growing Wealth Management business with multiple locations.
This is a busy and challenging role with varied duties, which will primarily involve ensuring that the business meets its regulatory and general compliance obligations placed upon it by regulators and by statute.
The role will involve supporting the Head of Compliance, ensuring that the Compliance department is regarded as professional, corporate and credible across the business.
The successful applicant will deal with all aspects of file checking for pre and post sale approval and will be a point of contact for all compliance related queries. They will also establish necessary controls and processes to ensure that members of the team achieve designated compliance levels so that authorisation of the business continues. This will include dealing with pre-approval requests from paraplanners and communicating with them throughout the process, ensuring that appropriate procedures are followed.
The Compliance Officer will conduct monitoring activities, but will be required to engage with key people across the business to ensure that feedback is communicated effectively and that any necessary remedial actions are put in place.
To ensure their continued success, the candidate will be required to maintain an awareness of any regulatory changes affecting the wealth management, investment and pensions sector, attending workshops where appropriate.
In order to be considered for this highly rewarding role, candidates must have a strong product knowledge within Financial Planning, but specifically Pensions & Investments. They should hold a L4 Diploma and be extremely detail focused and driven. The role would suit an experienced Compliance Officer with relevant experience but could equally be of interest to a Paraplanner with sector experience, who is looking to progress.
A professional and motivational environment awaits the right person along with a competitive package and great career prospects.
Urgent invitations are invited for imminent interviews. For more information please contact Dynamtie Financial Services in the first instance.
Keywords - Compliance, Audit, FOS, "Financial Services", Investments, Pensions, IFA, Advice, Advisory, Compliance
Dynamite Recruitment Solutions Ltd is acting as an Employment Agency in relation to this vacancy.