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Part Time Compliance Specialist

Location: WINCHESTER, HAMPSHIRE Salary: 30000 - 40000 GBP Per Annum
Sector: Insurance Job Type: Contract
Shift Type: N/A Applications: N/A
Posted: 12 months ago Reference: 3101514
Winchester IFA Practice looking for a Part Time Compliance Specialist to join their team due to a current employee taking a time out for children. My client requires someone who can come in to the company and hit the ground running with a good attitude and clear understanding of the Financial Services industry.

My client is more than happy for the individual to choose how they split their time, whether it be 2/3 full days in the office, or a few mornings/ afternoons spread across a week.

Salary will be between £30,000 -£40,000 on a pro rata's basis

Duties such as...
• Monitoring sales processes and performance, including file checking, Adviser KPI reviews etc
• Advising business on maintenance of compliance
• Reporting – maintenance of compliance registers and reports.
• Perform due diligence on all prospective Introducers and issue agreements.
• Checking & approving advertising, publications, websites etc. are compliant
• Communicating company policies to all staff
• Research & reading, keeping abreast of all relevant regulatory changes and updates and where necessary prepare summaries on such research
• Identifying potential areas of compliance vulnerability and risk
• Investigating complaints from customers in line with FCA regulations
• Ensure that Treating Customers Fairly (TCF) requirements are met by the company

The ideal candidate will have previous compliance experience within a IFA practice and have a flexible hardworking approach to their work.

Any Financial Services Qualifications including the Level 4 Diploma and FPC 123 are not a must but of course will be a bonus.

For more information please apply online today or send your most up to date CV to

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