Senior Compliance Officer

Summary: The role of Senior Compliance Officer involves supporting the Head of Compliance in managing the compliance regime for an independent financial advice firm on a 12-month fixed-term basis. Key responsibilities include auditing new business submissions, providing pre-submission support to advisers, and ensuring compliance with regulatory standards. The position requires strong communication skills and attention to detail, along with the ability to maintain relationships across the business. The ideal candidate will have previous experience in a compliance role within the Financial Services Industry.

Key Responsibilities:

• Auditing New Business Submission files based on Advisers' Risk Ratings.
• Providing reports and ensuring remedial work is completed timely.
• Offering pre-submission support to Advisers on file content and compliance.
• Chasing all remedial work for completed file audits and maintaining adviser records.
• Checking marketing material for compliance and logging approved content.
• Adhering to the Firm’s Compliance Monitoring Plan monthly.
• Preparing monthly reports on compliance activity for Company Directors.
• Monitoring the Compliance Email Inbox and allocating tasks as necessary.
• Ensuring all paperwork meets FCA requirements.

Key Skills:

• Previous experience in a regulatory/compliance role.
• Interest in regulation.
• Experience in a compliance role within the Financial Services Industry, preferably in the Financial Adviser sector.
• Industry qualifications desirable but not essential (e.g., CII Diploma in Regulated Financial Planning).
• Attention to detail with an understanding of internal control and management information systems.
• Ability to build and maintain relationships at all business levels.
• High standard of communication skills, including formal report writing.
• High level of IT literacy, particularly in Microsoft Office, especially Excel.

Salary (Rate): £40,000

City: Cheshire

Country: United Kingdom

Working Arrangements: undetermined

IR35 Status: undetermined

Seniority Level: Senior

Industry: Finance