Compliance Professional

Our client is an independently owned, financial planning firm based in Kent, who are looking to recruit an experienced Compliance professional to join their team as part of their organic growth plans.

You will be working closely with the management team, as an integral team member, working on the compliance framework in line with regulatory and industry standards. We require an experienced Compliance professional, with experience within IFA practices.

This is a hands on role, with duties such as:

• File checking
• Ensuring accurate compliance records and documentation
• Identifying, designing, delivering and monitoring of compliance policies and procedures
• Conduct risk assessments to mitigate risks
• Support with training team members on compliance topics
• Monitoring industry regulation changes and act on this accordingly

You will be joining a values driven firm who are passionate about doing what is right for the client and helping through their technical expertise. Their collective goal is to deliver quality, holistic financial planning with strong client relationships, as they know if that is done correctly, everything will follow from there.

Compliance Professional Requirements

• You must hold Chartered status in Financial Planning, preferably with AF3 or equivalent
• You must be experienced in all areas of IFA compliance duties and be confident in working closely with the Senior Management team
• Our client is focused on values driven individuals who are motivated by delivering great service above all

Compliance Professional Benefits

• Competitive salary to be discussed
• Office based role with choice of their two offices in Kent
• Full time or potential to consider reduced hours
• No evenings or weekends work
• Loyal team who enjoy working together and being valued for their input

Locations

Kent

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