Compliance Officer

Salary: £32,000 - £40,000

I am really pleased to be working with a Cheshire based Financial Planning firm who are looking to recruit a Compliance Officer.

Duties involve:

• Ensure the Financial Advisors and Paraplanners work is fully compliant.
• Regulatory reporting.
• Identifying compliance areas for improvement and preparing 1 to 1’s.
• Answer queries on regulatory reports.
• Work on complaints.

In return, you will receive ongoing training and development.

Experience:

• Ideally have compliance experience in Financial Planning.
• Ideally passed the Diploma in Financial Planning or working towards the qualification.
• If currently a Paraplanner or Financial Advisor and want to move into compliance.

For more info on this fantastic Cheshire based Financial Services role please click to apply: