Job Information

A Harrogate based Investment Management firm are looking for a Compliance Support Officer to assist the Compliance Manager with all aspects of the firms compliance and risk management processes.

You will benefit from;

• A generous salary - £36,000 to £40,000
• Annual discretionary bonus scheme
• Holidays : 30 days plus Bank holidays
• Death in Service : 4x salary
• Pension - 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

To be successful you will need;

• Experience working within an Investment Management company, a Financial Advisers or 3rd Party Compliance company who support for financial advice and discretionary management firms
• And either, compliance specific or industry relevant qualifications

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

Or apply now.