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applicants
Senior Compliance Officer -IFA
£65000 – £70000 per annum + excellent benefits
City of London
Ref: Auto 416392
A niche financial services group with a network of independant IFA's are seeking a Senior Compliance Officer to join their London office.
The position will combine joint responsibilities of managing the Risk and Compliance strategy for the company.
The role holder will also be responsible for ensuring the fulfilment of the ongoing compliance requirements across the Network in respect of:
• Advisory Systems and Controls,
• Training & Competence
• Training and Development
Essential Experience
• Working at a senior level in a compliance function
• Having managed a function and team of people
• Excellent knowledge of FSA handbooks, rules and parties
• Able to influence at the highest level and negotiate with self employed Member to achieve favourable outcomes in respect of Compliance and Risk
• Strong knowledge of all areas of RDR ready.
Project Management
The position will combine joint responsibilities of managing the Risk and Compliance strategy for the company.
The role holder will also be responsible for ensuring the fulfilment of the ongoing compliance requirements across the Network in respect of:
• Advisory Systems and Controls,
• Training & Competence
• Training and Development
Essential Experience
• Working at a senior level in a compliance function
• Having managed a function and team of people
• Excellent knowledge of FSA handbooks, rules and parties
• Able to influence at the highest level and negotiate with self employed Member to achieve favourable outcomes in respect of Compliance and Risk
• Strong knowledge of all areas of RDR ready.
Project Management
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Published at 27-01-2012
Viewed: 18 times
Viewed: 18 times
