Compliance & Quality Assurance Officer

  • Location:

    West Sussex, England

  • Sector:

    Financial Services

  • Job type:

    Full Time

  • Salary:


  • Contact:

    Samuel Moss

  • Contact email:

  • Job ref:


  • Published:

    4 months ago

  • Expiry date:


  • Start date:

    15/01/2019 12:24:07

Compliance and Quality Assurance, Financial Services - Horsham - £30k-£40k

A renowned wealth management group in Horsham are looking to grow their compliance team with the addition of a Compliance and Quality Assurance professional.

General Responsibilities:

* Maintain a systematic, comprehensive scheme of file monitoring across the Network, in accordance with regulatory requirements
* Undertake quality of advice reviews across all areas of the business and all AR firms, maintaining accurate records of trends and communicating them to the team within desired timescales
* Undertake enhanced monitoring, risk assessment tasks and focused business reviews as per the needs of the business and / or instructions of the management team
* Assess and review suspense account and new business reports for analysis of trends
* Attend Compliance Team Meetings, compile Minutes where required and add to discussion as appropriate
* Undertake supporting monitoring tasks for the compliance team as required
* Liaise with the team on associated tasks and projects, and provide constructive input
* Liaise effectively and confidently with senior management
* Provide telephone support for the Compliance Department as required

Ad-hoc Responsibilities:

* Take on quality assessment tasks and projects as requested by the Compliance Manager and Director with can-do attitude and a timely approach
* Complete tasks to a high standard, and apply initiative to accommodate for wider issues

Skills and Knowledge:

* Excellent knowledge of retail investment, savings, pension and protection products in the IFA sector
* Strong knowledge of FCA rules and their interpretation/application
* Ability to communicate with others confidently whilst remaining flexible/adaptable
* Highly developed analytical, observational, written and verbal communication skills

Qualifications Requirements:

* Minimum of CertPFS (or equivalent), with significant progress towards the achievement of a level 4 Diploma qualification desired

Desirable Qualifications and Experience:

* Level 4 Diploma in Financial Planning

Specialist Qualifications:

* Equity Release/lifetime mortgages - ER1 & HR1 or equivalent
* Occupational pensions - J04, J05 & AF3 or equivalent
* Long Term Care - CF8 or equivalent
* Significant experience within the financial services, preferably in an investment or insurance environment with a good understanding of FCA/PRA regulatory expectations and compliance requirements

Search is an equal opportunities recruiter and we welcome applications from all suitably skilled or qualified applicants, regardless of their race, sex, disability, religion/beliefs, sexual orientation or age.