Details:
- Salary: £33.50 - Hour
- Location: Chelmsford Essex
- Date: 1 month ago
Description:
Part Time IFA Compliance Officer
£33.50 per hour
Chelmsford, Essex
20 hours per week
My client, a professional independent financial advisors based in Chelmsford is seeking a Compliance Officer with previous experience within a similar role to join their team on a part time, permanent basis, working 20 hours per week.
The ideal candidate will have experience working in a Compliance role within an IFA, and hold Level a 4 Diploma in Financial Planning.
Responsibilities include:
Overall responsibility (SMF16) for day to day compliance of the business under the guidance of Simplybiz- Including responsibility for implementation of Consumer Duty and maintenance of Senior Management and Certification Regime
Chairing Senior Management meetings
Completion of Financial Resilience surveys
Ensure the existing and new business processes and documentation meet current regulation and are fully version-controlled
Responsible for co-ordinating compliance file checks with Simplybiz and Financial Advisers
Undertaking Fact Find and Adviser Observations
Responsible for undertaking adviser KPIs and Development Actions plans and ensuring their CPD / SPS is up-to-date
Maintaining and updating Compliance records
Responsible for updating FCA register as required
Responsible for ensuring that staff are informed of any new relevant regulation and updating staff in monthly team meetings
Facilitating compliance file checks and chasing Advisers for missing information
New starter documentation process
Facilitating annual compliance tests
Liaise with Simplybiz on bi-annual visits / audits
Responsible for assisting Finance Director on GABRIEL returns (RegData)
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