This job is no longer available.
You can view related vacancies or set-up an email alert notification when similar jobs are added to the website using the buttons below.

Compliance Officer - IFA Monitoring


£40000.00 - £49000.00 per annum

Compliance Officer - IFA Monitoring


One of the largest independently owned investment management firm in the UK is currently seeking an experienced compliance monitoring officer to join their team who has a background in IFA/Wealth Management file review.

Reporting to the Compliance Manager, you will assist in carrying out regular monitoring in various business areas, in line with the firm's monitoring program.

·Reviewing advice given to clients, which will cover all retail investment products
·Reviewing the sale of group risk schemes and products
·Ensuring any remedial action arising from the monitoring activity is completed within a timely manner
·Recording any rule breaches arising from this monitoring, investigate the issues arising and report the outcome
·Reviewing the winding up of occupational pension schemes
·Carry out other monitoring activities to assist colleagues during busy periods

Take responsibility for the timely production of the following reports arising from the monitoring activities:
·Producing individual file review feedback reports for advisers, including remedial action requirements where necessary
·Producing relevant management information and trend analysis
·Producing monitoring reports to the firm's standard template, in a timely manner

Compliance guidance and advice
Provide advice and guidance to the business in respect of the firm's compliance requirements as required, including:
·Assist in the review and approval of marketing material, including FCA financial promotions
·Assist in ensuring that compliance department procedures manuals are updated as and when required

Regulatory Matters
·Ensure that FCA disclosure documents used by the IFA division are in line with regulatory requirements at all times.
·Undertake research into new regulations or legislation that might affect the IFA division and provide advice to the Compliance Manager on the impact of these changes.
·Assist in any process review to ensure the monitoring programs continue to test all appropriate areas of risk

Required Experience and Skills:

* Compliance monitoring in the areas of pensions, life assurance and retail investments, preferably in the IFA market
* Review and approval of marketing material, including financial promotions
* Ideally degree qualified with CII DipPFS Level 4 or working towards

Please quote (43110) when calling Alexander Lloyd. This is only one of many vacancies we are handling. Alexander Lloyd is a specialist within Financial Services recruitment. Areas of expertise include Compliance Directors, CF10/11, Risk Frameworks, Monitoring, Advisory, Policy, T&C, Quality Assurance/ File Review, AML/KYC etc across the entire financial services sector including investments, banking and insurance. We predominately focus on London, Surrey, Sussex and Kent, although we have also been highly successfully in offering national solutions. Due to the high amount of interest that we receive for each of our roles unfortunately we cannot respond to each application individually, therefore if you do not hear back from one of our consultants you have not been shortlisted for this role. Please continue to check our website for any other roles which may be of interest.

This job has now been filled but you may be interested in:


Financial Analyst

£30000 - £35000 per annum
There is a fantastic opportunity that has arisen within the Finance team of this international Financial Services group.We are looking for a Financial Analyst to join the London team on a permanent basis.As this is a broad role, the main duties include, but are not limited to:·Constructing and assembling data for budgeting... More

Compliance Officer

£50000 - £70000.00 per annum
We are currently seeking an experienced generalist Compliance professional to join a small but growing Wealth Management company based in London. This opportunity allows you to work in a fast-paced, hands on environment acting as sole Compliance person for the businessResponsibilities... More

Compliance Manager - PRIIPS and KIDs

£75000.00 - £85000.00 per annum
A great new opportunity for someone to join a compliance outsourcing company based in London. My client is well known in the investment management, hedge fund, asset management, FX and Fintech space and they are looking for a Compliance Manager to join their team to focus on PRIIPS-KID's.Responsibilities... More