Compliance Officer - Hale, United Kingdom - Halecroft Recruitment

Halecroft Recruitment
Halecroft Recruitment
Verified Company
Hale, United Kingdom

1 week ago

Tom O´Connor

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Tom O´Connor

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Description

Compliance Officer / Manager


We are currently recruiting a Compliance Officer / Manage to join an award-winning Wealth Management business that offer quality financial planning and investment advice based in Cheshire.

Tasked with creating strategies and policies to ensure compliance with the FCA regulations and law.


On a daily basis, assess the compliance of internal processes against current regulations, maintain reporting and help to advise and train staff.

Keep on top of best practice and to ensure that the business' internal policies account for any changes.


Tasks include:


  • Maintain compliance status
  • Developing policies and procedures
  • Managing team members
  • Ensuring the business is up to date on legislation, regulation and best practice
  • Advising various departments
  • Conducting annual compliance checks
  • Creating and maintaining records
  • Inspiring and leading a culture of compliance
  • Train employees on internal policies

Required Skills:


  • Experience of working within a financial planning or wealth management business in a similar role
  • Relevant financial services qualifications
  • Excellent working knowledge of financial planning with skills in AML and KYC.
  • Able to build working relationships with the firms planners and be comfortable presenting changes to the relevant teams within the business.
  • Detail oriented
  • Excellent interpersonal skills
  • Good organisational skills
  • Strong sense of ethics
  • Commercially focused

Hours:
Mon - Fri (Full Time)


Location:
Remote (Head office based in Hale, Cheshire. Must be able to travel when required)


Salary:
Negotiable
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