Compliance Officer IFA firm

About the company

Our client is an award winning established IFA firm with a number of AR firms linked to their business

Your tasks

This role is looking for a "work with the IFA" type Compliance person experienced working in a compliance role

There are four main aspects to the role.

• 1) Conduct audits of the IFA & mortgage broker firms within the group.
• 2) Holding 121 meetings with Advisers to review their KPIs and adherence to our procedures.
• 3) Renew Competent Adviser Status for our Advisers. This involves a desktop review of KPIs.
• 4) Identification of risks presented by firms & individuals and then agreeing actions to mitigate and manage risks.

Requirements

We therefore need an experienced and ideally Level 4 Dip Compliance person who also has Mortgage knowledge. The bulk of the work however is linked to Investment work

How to apply

For more details call Jason at Astral

Other

We have a great new role looking for a Compliance Supervisor for an IFA firm based in Horsham

This is a remote role with the bulk of your work being from home, However you may be required for occasional travel to IFA sites around the country and if this happens then all your expenses will be covered

There will also be an expectancy to occasionally attend the head office in Horsham but this will be quite rare