Job Information

A Harrogate based Independent Financial Advisers is looking for a Compliance Support Officer to with all aspects of the Group`s compliance and risk management processes.



You will benefit from;

• A generous salary - up to 38k
• Annual bonus scheme - Discretionary and payable upon the company making a profit.
• Holidays : 30 days plus Bank holidays
• Death in Service : 4x salary
• Pension - via auto-enrolment with The People`s Pension scheme. Contributions are 9% employer & no obligation for employees



When successful you will be expected to;

• Execute and maintain compliance monitoring for the financial planning division
• Pro-actively identify and report any regulatory risks and issues
• Compile ongoing Management Information highlighting any areas of concern to the
• Provide a monthly update on all compliance issues
• Carry out ad hoc file reviews monitoring quality
• Assist the Compliance Officer with resolving any regulatory issues that may arise
• Drafting new and reviewing existing policies and procedures
• Assist with the collation of information for regulatory returns
• Reviewing FCA publications, highlighting any areas of direct impact to the firm
• Ensuring KYC and TCF policies and procedures are adhered to
• Develop your professional expertise through on the job training, formal training and, where appropriate, professional qualifications



If you would like to know more, please search ‘Cameron James Professional Recruitment` and call and ask for Richard.



Or apply now.