Southport,
Compliance Officer – Financial Planning Firm, Southport
Are you an astute Compliance professional seeking a critical role within a forward-thinking financial planning firm? This is a compelling opportunity to apply your expertise in shaping robust regulatory frameworks, ensuring operational integrity, and contributing directly to the ethical success of our organisation.
Our established financial planning firm in Southport is actively seeking a highly skilled Compliance Officer. We offer a stimulating environment where your strategic insights will be invaluable, and your contributions directly impact our commitment to best practice and client confidence. This is not merely an oversight role; it is a chance to be a foundational pillar in maintaining our high standards and navigating the dynamic regulatory environment.
What We Offer:
- Impactful Contribution: Play a central role in shaping the firm’s compliance culture and risk management strategies.
- Professional Growth: Opportunity to expand your expertise across various facets of financial services regulation, with support for ongoing professional development.
- Strategic Collaboration: Work closely with senior management and key stakeholders, providing essential guidance and counsel.
- Supportive Environment: Join a collaborative team where your insights are valued and your professional input is actively sought.
- Attractive Remuneration: A competitive salary package that reflects the importance and complexity of this position.
- Work-Life Integration: Enjoy the benefits of working with a firm that prioritises a balanced professional life in a desirable location.
Your Contribution:
- Develop, implement, and maintain effective compliance policies and procedures aligned with current regulatory standards.
- Conduct regular compliance monitoring and reviews, identifying areas for enhancement and ensuring adherence to internal controls.
- Provide timely and accurate regulatory advice and guidance to all levels of the firm, fostering a culture of compliance.
- Manage regulatory reporting requirements and act as a key liaison with external bodies.
- Support the firm in adapting to evolving regulatory changes, ensuring proactive measures are in place.
- Contribute to the training and development of staff on compliance matters.
We are seeking individuals who possess:
- A strong understanding of the financial services regulatory landscape, particularly within financial planning.
- Demonstrable experience in a compliance function within the financial services sector.
- Excellent analytical skills and a meticulous approach to regulatory interpretation and application.
- The ability to communicate complex regulatory information clearly and concisely to diverse audiences.
- A proactive and pragmatic approach to problem-solving and risk mitigation.
- A high degree of integrity, professionalism, and discretion.
This is a significant opportunity for a dedicated Compliance professional to become an integral part of a reputable financial planning firm. If you are passionate about regulatory excellence and eager to make a tangible difference, we invite you to connect.