Part-time compliance officer position available within a reputable independent Financial Planning firm. We are flexible on days and hours, the person is most important.
As compliance officer you will identify, assess and manage regulatory risks, presenting solutions that benefit our clients and the business. You will work closely with financial advisers, paraplanners and the administration team to ensure that compliant best practice supports the business. The role would suit someone with experience of file reviews and a background of assessing the suitability of advice / suitability reports.
Duties include:
Monitoring paraplanning, suitability, client files and advice, offering constructive feedback as appropriate
Create, edit and maintain accurate and up to date compliance records, register and procedures
Provide guidance to advisers and support staff
Deliver training and presentations to colleagues to increase compliance knowledge and awareness
Flexible on days/hours to suit.
Fareham based office
Small independant firm
For more details please contact Tegan at Dynamite Recruitment