Compliance Officer

Deeside, Flintshire 

Salary: £30,000 - £35,000

We have worked this Financial Planning firm for around 8 +  years now and we have visited their office which are ideally located in Deeside, Flintshire and near to Chester.

This financial services company are looking to add to their established Compliance team.

Main aspects of role:

• Monitoring file reviews
• Assist the Compliance Manager complete any actions arising from the firm’s Business Diary and Compliance.
• Training & Competence for some of the Financial Advisors.
• Gather the MI required for the firms internal and external reporting.
• Work on client pre approvals.
• Reviewing File checks.
• Work on ad hoc projects.

You will always be challenged in this role and our client constantly offer training and investing in your career i.e. qualifications.

We would like to hear from candidates with any of the following criteria:

• Obtained the Level 4 Diploma in Financial Planning Qualification or working towards the qualification.
• Currently or previously worked within a Wealth Management environment
• Previously or currently working in a Compliance function within Wealth Management

Please click to apply with your cv. Look forward to speaking with you.