Horsham
A couple of new Compliance Supervisors positions have arisen within a Horsham based IFA company due to a long standing member of staff retiring and exciting company grow meaning a need for an additional team member.
Some of the duties will be that you provide support to the Compliance Manager by conducting Focused Audits, conduct risk, identify any Breaches or Misconduct, review client files to confirm suitability and good consumer outcomes, and undertake or lead project work.
You will be working in a strong team-focused environment where you can develop your career within a prestigious firm.
Benefits:
- Discretionary Bonus
- 23day holiday plus Christmas (holiday buy scheme)
- Social events
- Pension Scheme
- Vouchers and rewards
- Benefit from referral schemes
- Funded Parking
What’s needed to be considered?
In order to be considered for this Paraplanner opportunity, candidates need to have –
- Working towards the CII Level 4 Diploma in Financial Planning if not already achieved
- Previous experience within a Financial Planning setting
- High level of analytical capability and good communication skills
What’s next?
Apply today to be considered for this Compliance Supervisor opportunity. If suitable, one of our specialist consultants will be in contact to discuss the opportunity with you in detail prior to submitting your CV to the client. Additionally, refer a friend or colleague to us and receive £200 if we assist them in securing a new career.
Compliance, FCA, regulations, paraplanner, adviser support, technical queries