Compliance Officer

Compliance Officer Flintshire, North Wales Salary: £30,000 - £35,000 We have worked with this Financial Planning firm for around 8+ years now and have visited their office, which is ideally located in Flintshire, North Wales, near Chester, Cheshire.
This financial services company is looking to add to their established Compliance team.
Main aspects of role: Monitoring file reviews Assisting the Compliance Manager to complete any actions arising from the firm's Business Diary and Compliance Training & Competence for some of the Financial Advisors Gathering the MI required for the firm's internal and external reporting Working on client pre-approvals Reviewing file checks Working on ad hoc projects You will always be challenged in this role, and our client constantly offers training and invests in your career, i.e., qualifications.
We would like to hear from candidates with any of the following criteria: Obtained the Level 4 Diploma in Financial Planning Qualification or working towards the qualification Currently or previously worked within a Wealth Management environment Previously or currently working in a Compliance function within Wealth Management Please click to apply with your CV. We look forward to speaking with you.
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