Financial Services Compliance Officer

Our client is a well established Financial Services company based in Horsham and they are looking for an experienced Compliance Officer to join the team

This role is for someone who has worked within an IFA firm working in a compliance function

The ideal candidate will live local to Horsham and have a passion for compliance and will also hold Level 4 Diploma or be close to it

The role in summary:

• To provide support to the Compliance Manager by conducting Focused Audits of the activities of individuals and firms where there is evidence of the Firm or Individual being of a risk to the Company arising from their activities.
• To conduct Induction, Monitoring, Investigation, Remedial and Exit Visits on Firms using pre-prepared check sheets and any special instructions or directions agreed by the Compliance Manager according to individual circumstances, and accurately recorded outcomes on the in-house systems.
• To review client files to confirm suitability and good consumer outcomes and adherence to regulatory and Company requirements and identify and require remedial action from members firms where necessary.
• To identify any Breaches or Misconduct by firms and individual and report any training/compliance failures to the Compliance Manager.
• To provide feedback and prepare action plans for firms and individuals

Base has been positioned at circa £38-42000 plus benefits

The role will offer hybrid working after successful probation