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Compliance Specialist
Salary Area Job Ref Consultant Sector
c£40,000 pa pro rata Warwickshire AL802 Angela Liscombe Compliance

Description

Compliance Specialist – part time, 1 day per week

Leamington Spa (our ref AL802)

Salary c£40,000 per annum pro rata

 

My client is an established and well regarded IFA organisation, and they now have an exciting new vacancy for an experienced Compliance Specialist to join their existing team.

 

The successful candidate should be an experienced financial services compliance and regulations professional. The role will be reporting to the compliance oversight officer and is to ensure all compliance matters are dealt with in a timely manner. 

 

Key areas of responsibility:

 

-          Ensuring all GDPR requirements are adhered to

-          Ensuring the company is MiFID II compliant

-          Ensuring T&C is carried out and completed for 4 IFA’s and 1 mortgage adviser

-          Ensuring all procedures and processes are kept up to date

-          Staff training / testing

-          Spot check file reviews

-          Keeping up to date with current compliance changes within the industry

 

 

If this role is of interest and you have worked in a similar compliance role within a wealth management organisation previously, then please apply in confidence with an up to date CV or call Angela Liscombe at North Oak Recruitment for a confidential discussion.


 North Oak Recruitment have worked very hard to find me a position.  Angela has been friendly and professional, she listened to what I was looking for and I would recommend her to anyone looking for a new job. 
Sharon M.
 Angela is second to non in her knowledge of the financial services industry across the Midlands.  Having been made redundant I was feeling unsure about my future but Angela was very reassuring and quickly got to work for me.  Within 3 weeks, I had the perfect role and I can't recommend Angela highly enough - Thank You!
Kate M.