My client, a well-established Financial Advice practice are recruiting for an experienced Compliance Supervisor to join the team. Working within a modern head office within an experienced and professional team that encourage growth and progression.
In return you will be offered a strong salary, benefits package, training towards Level 4 Diploma in Financial Planning, and gain your CII R01 qualification supported and achieved within year 1.
- Identify breaches or Misconduct by firms and individual and report training/compliance failures to the compliance manager
- To conduct Induction, Monitoring, Investigation, Remedial and Exit Visits on Firms
- Prepare action plans and feedback for firms and individuals following any audit
- Provide compliance support to ensure the adherence to rules, guidance ad procedures
- Handle customer complaints
- Review client files and confirm suitability and adherence to regulatory and company requirement
- Assist firms and individuals mainiating good business and compliance practice and procedures.
- Complete risk evaluation of each individual and an overall risk assessment of the firm following audit finds.
- Support the Compliance Manager, by conducting audits of firms and individuals where there is evidence of them being a risk from their activities
You will have a working knowledge of the FCA Rules, awareness of the rules and regulations of other relevant bodies (e.g. JMLSG, FATF, ICO), you will have a working knowledge of the financial services industry, products and risks. Knowledge of a Compliant Sales Process and Disclosure requirements. QCA Level 4, 6 or 6+ qualification would be desirable but not essential.
For further details contact Tegan Sillett at Dynamite Recruitment 02392455422