Reed Financial Services are pleased to be working with a well-established independent financial advisers with offices based in Ferndown near Bournemouth. Their team of friendly and knowledgeable advisers cover much of Dorset, Wiltshire, Somerset, Hampshire, London, Cornwall and beyond, delivering comprehensive financial information and financial advice to our valued clients.
They seek a Level 4 Qualified Compliance Officer to join their business and help with the day-to-day duties , this role is part time up to 25 hours a week and can be any day or hours the successful wishes. Or if you seek full time and can also provide other areas support such as Paraplanning, my client is open to offering a full-time contract for a hybrid role.
In return a competitive salary of 45-60k FTE can be offered plus benefits and hybrid working options.
General Role Responsibilities
- Day-to-Day Compliance Function: Oversee the daily operations related to compliance within the company.
- Regulatory Interpretation: Interpret and communicate the latest relevant regulatory, legislative, and industry standard changes.
- Policy Creation and Update: Develop and update company compliance policies and procedures.
- Staff Training: Conduct training to ensure the company's internal structure adheres to the FCA's guidelines.
- File Checking: Ensure a consistently high level of service is provided to clients through regular file checks.
- Control Systems Development: Develop and oversee control systems to maintain adherence to regulations and internal policies.
- Control Efficiency Evaluation: Continuously evaluate and improve the efficiency of controls.
- Procedure Revision: Revise procedures and reports as necessary.
- Adviser Meetings: Conduct one-on-one meetings with advisers.
- KPI Monitoring: Monitor individual key performance indicators.
- External Compliance Audits: Manage external compliance audits.
- Reporting: Report to the compliance director.
What They Are Looking For
- Qualification: Minimum Level 4 Diploma in Financial Planning.
Experience and Qualifications
- Proven Experience: Demonstrable experience in a compliance role within the financial services sector.
- Knowledge of FCA Standards: In-depth understanding of FCA standards and regulations.
- Reporting and Record Keeping: Excellent knowledge of reporting procedures and record-keeping practices.
- Communication Skills: Outstanding communication and interpersonal skills.
- Pressure Management: Ability to work under pressure and meet deadlines.
- Orientation: Solution and service-oriented mindset.
- Technology Proficiency: Technology-savvy with a willingness to embrace new systems and software.
- Analytical Skills: Strong analytical and decision-making skills.
- Influencing Skills: Strong influencing abilities.
- Professionalism: Discreet and professional in all communications.
- Emotional Intelligence: High level of emotional intelligence.
- Listening Skills: Effective listener.
- Constructive Challenge: Willingness to challenge in a constructive and non-confrontational manner.
- Organisation and Prioritisation: Organised multi-tasker with effective prioritisation skills.
- Adaptability: Adaptable and flexible approach.
- Self-Motivation: Self-motivated, able to work independently and as part of a team.
- Team Player: Ability to integrate seamlessly into a highly successful company.
If keen to apply please send your cv to or call