Financial Planning Compliance Officer

Job Title: Financial Planning Compliance Officer

Salary: £45,000 - £55,000

Location: Midlands (Remote)

A financial planning firm with a strong reputation and an emphasis on putting their clients’ needs at the very heart of what they do are looking to add to the back-office administration team.

The business provides advice across a diverse range of case types including Pensions, Investments, Mortgages, Protection, IHT, Tax & retirement planning, and some corporate advice as well.

They have won multiple awards within financial advice and they have a stellar reputation as a forward-thinking, bespoke financial planning firm. They pride themselves on having a strong level of technical knowledge along with an ability to provide a tailored advice service, backed up by an experienced and qualified back office team.

They are now looking for an experienced, technically minded, compliance professional to join the firm to take on the duties that help support the business' continued growth so this would be a fantastic career step for someone with compliance experience within financial services.

The Role:

This position would suit someone who has experience in Compliance based roles within a Financial Advice firm previously, but is looking to join a firm that can allow them to continue to develop their career professionally whilst taking on more duties and helping shape the ongoing compliance duties within the firm.

This role is a hands on position for someone who is looking to help lead and drive the process improvements at the firm including duties such as: compliance monitoring, providing guidance on regulatory changes, signing-off new client documentation and working with the FCA.

Ideally, you would be a pro-active professional and someone who is comfortable implementing change whilst making business-focussed decisions to improve the ongoing successes of a developing firm.

The Required Skills:

• Level 4 Diploma Qualified would be advantageous
• Experience in working within a compliance role within financial services previously. Ideally, within a Wealth Management / Financial Planning / IFA environment.
• Strong technical knowledge particularly around pensions and investments.
• Strong understanding of the FCA and an ability to stay on top of ever-changing regulations.

If you are interested in hearing more about this position, please get in touch with us at Capio.