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SimplyBiz
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Cardiff, South Glamorgan
Compliance Officer - Field Based
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Salary: Up to £45,000 per annum |
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Overview
We are recruiting for a Field Based Compliance Officer, preferably with Discretionary Investment Management expertise, to support our expanding Field Based Compliance Consultancy team supporting member firms (IFA and Discretionary Fund Management) within an allocated region . Compliance Officer key responsibilities: Create and maintain effective relationships with members (IFA’s / Mortgage Brokers), increasing knowledge and understanding of their business Create and deliver an appropriate programme of visits to meet the requirements of firms through effective planning, organisation and time management Provide consultative support to member firms to ensure relevant, practical compliance solutions are provided to assist with firm risk management Provide support to IFA firms during times of regulatory change and update firms of any current relevant regulatory and / or legislative changes during visits Produce and deliver accurate reports and action plans in a timely manner to provide clear, practical solutions to specific business needs for clients / members to enable them to develop, monitor and maintain compliance standards to mitigate risks within their business Conduct file reviews if / when required whilst onsite, or remotely in line with group business requirements and policy Ensure delivery of T&C Service with effective delivery of training needs analysis, skills assessments, one to ones and development plans Support and promote group events by participating in preparation and delivery of training presentations and / or meetings as required Skills and experience required: Level 4 Diploma (DipPFS or DipFA) Previous compliance experience in file checking, compliance management, T&C Full driving licence Benefits: Competitive salary Home based Car allowance, fuel card Manage own diary Pension scheme Life assurance at 4x salary Critical illness insurance at 3x salary About The SimplyBiz Group: The SimplyBiz Group provides the very highest quality of comprehensive compliance and business support to the 4000 directly authorised financial advisers throughout the UK who choose to use our services. During our successful fourteen year history we have never lost sight of our primary purpose – to provide support and guidance to directly authorised firms in every area of their business. Every decision about our proposition and the development of the Group over the past decade has been made after asking ourselves one simple question; will this benefit the firms we serve and their clients? Each staff member of our 400 strong team understands that advisers and their needs are central to everything we do and our culture and ethos places the firms we serve firmly at the heart of everything the SimplyBiz Group does. We offer the experience, expertise and regulatory guidance that puts advisers firmly in control of their own businesses. This job was originally posted as www.totaljobs.com/job/89792665