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Compliance Supervisor/Quality Assurance- IFA firm

Horsham, Sussex
£38,000 to £42,000
Job Type
8 Sep 2022

Our client is a successful established Financial Services business and they are currently looking for an in house Compliance Officer to join the team

They will consider someone from a Financial Services background with a passion for compliance or an experienced Compliance Officer

Main Duties and Responsibilities:

To ensure adherence at all times to the suite of policy and procedures,

To provide support to the Compliance Manager by conducting Focused Audits

To conduct Induction, Monitoring, Investigation, Remedial and Exit Visits on Firms using pre-prepared check sheets

To review client files to confirm suitability and good consumer outcomes

Base circa £40000 dependent on experience

For more details call Jason at Astral

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  • Job Reference: 707315964-2
  • Date Posted: 8 September 2022
  • Recruiter: Astral Recruitment
    Astral Recruitment
  • Location: Horsham, Sussex
  • Salary: £38,000 to £42,000
  • Sector: Manufacturing Operations
  • Job Type: Permanent