Compliance Supervisor (internal)

Placed: 26/11/17
Region: United Kingdom
Category: Jobs


Content of the advertisement:

A leading consultancy offering compliance support to financial institutions have an immediate requirement for a Compliance Supervisor to join them at their offices in Horsham, West Sussex.

Key Skills: Compliance Supervisor, a Regulated Financial Services, paraplanning, Level 4 Diploma in Financial Planning, FCA rules.

Salary: Upto £38,500 + superb benefits

Location: Horsham, West sussex, RH12 1RB

As Compliance Supervisor your ole will be to support the Head of Regulatory Standards by conducting

Focused Audits of the activities of individuals and firms where there is evidence of the Firm or Individual
being of a risk to the Company arising from their activities.

As Compliance Supervisor it is essential you have experience within a Regulated Financial Services Company for at least 12 months and a compliance or paraplanning role within a regulated firm is desirable.

Key Skills and experience required for Compliance Supervisor:

Level 4 Diploma in Financial Planning (Essential)

Working knowledge of the FCA Rules.

Working knowledge of the financial services industry, products and risks.

Working knowledge of a Compliant Sales Process and Disclosure requirements, especially in relation to Defined Benefit Occupational Scheme Transfers.

Needless to say if you have got this far then you have the skills required so please click "apply now" for more details

Benefits: superb benefits

Price / Salary: £35000 - £38500/annum superb benefits