Kind Consultancy is working with a well-established, award-winning IFA firm which is currently seeking a Compliance Officer to join their Hertfordshire offices in a full-time, permanent role paying £40,000 - £50,000 dependent on experience, with a hybrid work model requiring 3 in-office days per week.

Reporting to the Operations Manager, the Compliance Officer will support the Compliance function, ensuring the business is fully compliant with both internal and external policies and regulations, with key responsibilities including:

• Overall management of regulatory risk
• Building and maintaining a constructive and open dialogue with the FCA and other relevant authorities, ensuring that any regulatory reports or enquiries are handled appropriately and promptly.
• Overseeing the review and development of existing products and services.
• Collaborating with all business areas to find compliant solutions to business problems.
• Overseeing any necessary remedial action arising as a consequence of regulatory risk
• Overseeing regular auditing to ensure compliance with FCA regulations
• Maintaining up-to-date awareness of regulatory developments
• Assisting the Operations Manager to enable the provision of advice and guidance on all aspects of compliance
• Responding in a timely basis to any requests for information from regulatory bodies.

Our ideal candidate for the Compliance Officer opportunity:

• Is currently working in or has previously held a similar Compliance role within Financial Services - ideally with exposure to IFA work
• Has a background in Financial Services administration support work, with experience of file checking and reviews
• Is detail-oriented, able to maintain accurate records with consistently excellent attention to detail
• Is professional and discrete, able to confidently, regularly handle highly confidential work
• Is a self-starter with Project Management skills
• Holding a Compliance or other Financial Services qualifications or working towards them would be desirable.

If you have the necessary skills, knowledge and experience, are based in or can commute to Hertfordshire and you're interested in the Compliance Officer opportunity, please apply with an updated CV today.