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Currently employing 18 staff, they are looking to bring in a professional in-house compliance officer who is not only qualified within financial services but also experienced in the provision of quality and ethical advice.

You may be considered for the position, if you are highly experienced in a compliance role within the financial services sector, and have made significant progression towards the Diploma. However, if the succesful candidate has already obtained their Diploma in Financial Services, they will be at a significant advantage compared to other prospectove applicants.

The candidate will be an all-rounder and provide all compliance support for the team. Your responsibilities will vary depending on the needs of the business, though primarily key tasks will be;

• To undertake compliance audit work, including regular and ad-hoc reviews of client files, suitability letters and investment reports
• To provide feedback and guidance to Financial Planners and Paraplanners to ensure adherence to company standards and regulatory requirements
• To escalate areas of concern
• To address and advise upon general compliance queries when they arise
• To assist the compliance in compliance department projects and thematic reviews as and when required
• To check basic financial promotions (training and support given)
• Responsible for ensuring all internal and regulatory policies, practices, procedures and standards are adhered to by advisers.

In order to be successful you will have at least two years prior experience of working in compliance within and IFA practice and have up-to-date working knowledge of all aspects of compliance, regulations and FCA policies.

To show your interest in this role or other pension related support roles, please contact Recruit UK at This email address is being protected from spambots. You need JavaScript enabled to view it. or on 01179 450450 and quote Sipps Professional and reference 2140.