Compliance Adviser (Financial Services)
QHSE Taskforce

About the job

COMPLIANCE ADVISER (Diploma qualified) Competitive Salary + Performance Bonus + Superb Benefits – Amazing package Due to growth my client is looking to recruit “Diploma” qualified “Financial Services Professionals” who are interested in a securing a permanent role in Compliance / Sales Quality Review…..   A superb opportunity exists to join a leading wealth management specialist based in several UK locations.    As a Compliance Officer you’ll play an important part in the outstanding level of service that the IFA’s deliver to their clients.  This is a key role and for that reason you need to be a dedicated, knowledgeable financial services professional who has achieved “Diploma” status.  In this role you will be responsible for compliance auditing a full range of wealth management business submitted by the Group.   You will be required to contribute to the identification and research of trends which will lead to training needs or the amendment of products, provide feedback to the remote Management teams and the IFA’s on required changes to cases, and provide knowledgeable technical support service to the business in relation to the correct documentation for all case types.   Day to day you will be file checking a range of business submitted by their IFA's, providing feedback to the business in regard to Risk and the changes required to cases to ensure compliance. The Person: Must have the Level 4 Diploma (or equivalent) Previous experience as a Compliance Officer, Compliance Checker, Para Planner, Sales Support Administrator would be ideal, however, they will also happily consider individuals who work in sales as an IFA, Financial Planning Manager or Broker Consultant and wish to move across to compliance.  Ideally you will have worked across a full product portfolio typical of a wealth management environment.  My client is looking for individuals who have a “can do” attitude, and a strong work ethic.  You will enjoy working with others and want to be of service to clients, and each other and must have excellent organisational skills with a strong administration background where attention to detail is key.   There is also an opportunity for a more pensions lead compliance role for those candidates who have G60, AF3 or AF7 This is a superb opportunity to work for an established employer who treat their staff with respect and give credit where credit is due, actively working hard to recognise individual performance. BENEFITS:  Hours:  Monday to Friday 9am - 5pm Up to 20% Annual Performance related Bonus (based on company and personal performance, Non-contributory Pension 10% of base salary rising to 12.5% then 15% following length of service, annual performance bonus, 25 days holiday rising to 30 days, Life cover equivalent to six times base salary, Critical Illness for individual and immediate family, Medical Insurance BUPA, Additional benefits include;  SAYE Share Options, Salary & Pension Contribution payable in the first 12 months of illness, Eye-Tests, Refreshments, FREE Car Parking, Childcare Vouchers, Season Ticket Loans



Gloucestershire,United Kingdom

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£0 - £0



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Gloucestershire,United Kingdom

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