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Job Specification

COMPLIANCE EXECUTIVE – IFA/DFM COMPLIANCE & FILE REVIEW EXP WITH L4 OR CEMAP QUALS REQUIRED

£50K - £60K + good benefits & bonus | West End
Ref: 3901D

UK & Ireland / Compliance (inc Conduct Risk/COBS) / Permanent

 
 

Our client, a leading IFA & Fund Manager, seeks a new executive to assist in the provision of high quality compliance governance within a small in-house team. Reporting to the Head of Compliance, you will play an important role in ensuring compliance with relevant legislation and procedures. Duties will include; 

•          Assisting the Head of Compliance to implement and review strategic business plans for the Compliance function in order to contribute to the overall compliant operations of the firm

•          Providing guidance to advisers, support staff and compliance administrator 

•          Providing feedback to advisers and support teams on new business and ongoing review file checks and ensuring any remedial action required is completed

•          Providing support in monitoring effective systems and controls to counter money laundering 

•          Maintaining accurate, up to date and detailed compliance records and registers 

•          Checking and maintaining records on financial promotions

•          Liaising with external consultants for any compliance queries which require external support 

You should have Level 4 CII Diploma in Regulated Financial Planning 0or equivalent relevant qualification) and/or CeMAP or equivalent (R01/CF6) and at least 3 years IFA/DFM Compliance experience, including experience of internal file reviews of new business and annual client reviews.

NB based in pleasant offices in the heart of the West End and whilst current needs are 4 days pw in office this should move to 3d pw office (2 WFH) in the medium term.

Company benefits including contribution to any gym/health club, training costs covered, 3 hours a month for in house study, 25 days holiday pro rata (increases by a day for every full year worked), PMI & DIS, 5% pension contributed by the company and a STL. 

So, if that sounds like you, then please send your details to our MD, David Symes FCA, at david@compliancerecruitment.com (including a contact no) however please note we cannot reply to all applications so only successful applications will be contacted (although under no circumstances are your details ever passed on without your specific permission).

Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role.    

The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge. 

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