Compliance Officer - Bristol, United Kingdom - Idex

Idex

Verified Company

Bristol, United Kingdom

3 weeks ago

Posted by:

Tom O´Connor

beBee Recruiter

Description

National IFA seeking an experienced Compliance Officer to assist in the provision of high-quality compliance governance within a small in-house team.

Assisting in the operation of effective systems and controls to mitigate business risks and to ensure compliance with the regulatory system.

Helping to maintain a collegiate relationship with both advisers and support staff to foster a positive approach to compliance across the company.

Previous experience within an IFA compliance setting together with a high level of competence in some or all of the following areas is essential:

File reviews for FCA regulated advice (investments, pensions, protection, IHT, LTC etc), complaints handling, training and competence within SM&CR, financial promotions approval, data protection and prevention of financial crime.

Level 4 ClI Diploma in Regulated Financial Planning or equivalent relevant qualification.
Excellent standard of written and verbal communication.
Good decision-making skills.
Analytical mind and excellent attention to detail.
Excellent time management skills with an ability to work to deadlines.
Ability to coach and provide feedback.
A good understanding and knowledge of relevant FCA rules.
A good understanding of other relevant legislation, including that related to financial crime and GDPR.
A good understanding of updating compliance policies and procedures.
Strong administration and record keeping skills.
"Can do, will do" attitude.
IT competent with knowledge of Intelligent Office an advantage.

Visit the IDEX Consulting Ltd website for further opportunities.

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At IDEX, we strive for an inclusion-first company culture where everyone is treated fairly and can bring their authentic selves to work.

We recognise and acknowledge that diverse representation at every level of our business requires continuous and measurable effort. We are committed to driving conscious inclusion across our business and creating equitable pathways.