File Checker / compliance
Up to £50,000
Remote working available
Are you an experienced Financial Services Professional who holds the Level 4 Diploma in Financial planning? If so, this opportunity to join a dynamic and growing Cardiff based financial advisory services group is for you!
The company are looking to speak to those with a compliance, paraplanning or advice background to join their team in a time of significant business growth.
The Business
Our client is an FCA-regulated IFA Network operating for over 20 years, that supports Independent Financial Advisers (IFAs) across the UK. They are seeking an individual to join the growing team and support the IFA Members to ensure the compliance standards they achieve remain of an excellent quality.
The Role
You will be working with individual advisers and member firms to ensure they are taking the right steps to meet the overall compliance standards. You will need to proactively communicate with Members in a supervisory and supporting role. This could involve working with advisers to rectify areas of their business practices where things can be improved. It might involve helping them to redesign their advice process or perhaps fully utilise the technology available to them to get the best results. Ultimately, you will use your skill and experience to provide the support and guidance to member firms to achieve the common goal of delivering compliant outcomes for the end client.
The Benefits
* Salary of up to £50,000 depending on experience
* Hybrid working
* 25 days Holiday + Bank Holidays
* Pension scheme
* Death in service available after probation period
* SickPay
* Income Protection
* Office Gym
If you think this is of interest to you, then the application process is simple. Just attach your CV along with your basic contact details. We will then reach out to gain any additional information we need before presenting you to our client.
Synonyms
Compliance Support Supervisor