A Regional Compliance Officer is now being sought by the IFA division of this industry respected Financial Services organisation.
Based out of the central London offices, with some travel to other offices in the South East, you will be providing professional guidance and assistance to all staff, as well as ensuring that the management of risk is controlled by the full use of clients within the business.
This an important position, where you will play a pivotal part in ensuring that the business as a whole is fully supported, now and on an ongoing basis in, whilst also acting as a trusted Advisor.
Responsibilities cover the full compliance management remit including policy procedures, compliance planning and monitoring, risk assessment, investigations, staff monitoring, financial promotions, AML, data protection, reporting, corrective action, educating others, due diligence and projects etc. as well as working with the Head of Compliance in order to take a strategic approach in managing and providing solutions to mitigated risks and the commercial impact of the financial services sector.
With previous experience of working within a financial services field based compliance environment, it is essential that you are Level 4 Diploma qualified and relevant pension qualifications (ideally either R04, J04, J05 or AF3).
Additionally, you will also possesses proven analytical, training, supervisory, coaching, communication, communication (verbal, written and face-to-face) and interpretation skills, coupled with a motivated and flexible approach.
This employer is very much a 21st century forward thinking, innovative organization who are renowned for offering an excellent remuneration and benefits package.
A full and detailed job description is available on application.