IFA Compliance Officer (DipFA) - Dorking

We are looking for an experienced Compliance Officer for our client! Previous experience within the Financial Services industry is essential, and preference would be that you are diploma qualified (level 4). The successful candidate will be working directly with the owners and existing compliance staff to ensure the company adheres to FCA guidance and the company's own in-house policies. Your expertise in effective risk management and regulatory knowledge will play a crucial role in maintaining the company's integrity and reputation.

Responsibilities:

Developing and overseeing control systems to maintain regulations and internal policies
Evaluating the efficiency of controls and improving them continuously
Revising procedures, reports, etc
File checking
Assessing the company’s future ventures to identify possible compliance risks

Experience and Qualifications:

Proven experience in a compliance role within the financial services sector
In-depth knowledge of the FCA standards and regulations
Excellent knowledge of reporting procedures and record keeping
Outstanding communication and interpersonal skills
Ability to work under pressure and meet deadlines.
Solution and service orientated.
Technology savvy and willing to embrace new systems and software.
Good analytical and decision-making skills.
Strong influencing skills.
Discrete and professional in all communication.
Strong emotional intelligence.
Effective listener.
Willingness to challenge in a constructive and non-confrontational manner.
Organised multi-tasker and effective prioritisation.
Adaptable and flexible.
Self-motivated and willing to work at times in isolation and as part of a wider team.

We are considering both full-time and part-time candidates for this position. Our client offers the flexibility of hybrid working.

If you are interested in applying for this position, then please forward a copy of your CV to josie@artemisrecruitment.co.uk

IFA Compliance Officer (DipFA) - Dorking

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