Senior Compliance Officer

Heat Recruitment
100000.00 GBP Annual
04 Jul 2018
18 Jul 2018
Job Type
Contract Type

Senior Compliance Officer

We are looking for an individual to work with us 6 days per month ( including compliance report at board level) in the above role. You would be working as part of a small team in a Warwick-based IFA with a well-established structure in place to support the right person in this role. This role needs someone who is independent, impartial with a wide experience and good knowledge in this area.

Main Duties

  • Implementation, oversight and delivery of compliance and regulatory returns

  • Implementation, oversight and delivery of compliance and regulatory processes

  • Liaison with key staff to ensure compliance processes are followed and adhered to within company policy and protocol

  • Producing monthly compliance and regulatory reports to the board (and progress reporting)

  • Ensuring processes, procedures that are currently in place are compliant and suggest improvements as needed

  • Line managing current Compliance Administrator


  • Recent and relevant experience of compliance and regulatory standards within a directly regulated IFA

  • Level 4 Diploma Qualified ideally or regulatory equivalent qualifications eg CII AF6

  • Excellent communication skills both verbal and written

  • Understanding the environment of a small/medium sized IFA practice with 6 plus advisers plus a mortgage specialist with good awareness of the relevant and appropriate regulatory standards and processes

  • Keeping abreast of regulatory legislation and changes

  • Support in achieving AF6 if not currently qualified

Support in Place:

  • Unlimited compliance and regulatory support from SimplyBiz

  • Existing Compliance Administrator staff member is in position to support this role

  • Existing admin structure fully supports high compliance and regulatory standards (and is currently rated Good by SimplyBiz compliance team)

  • Comprehensive file checking process and reviews of client outcomes already being carried out by SimplyBiz compliance team

What's next?

Apply today to be considered for this opportunity. If suitable, one of our specialist consultants will be in contact to discuss the opportunity with you in detail prior to submitting your CV to the client. In this discussion, we will aim to identify your specific skills and motivations, and where appropriate recommend other relevant opportunities to you that match your requirements.

Additionally, refer a friend or colleague to us and receive GBP200 in vouchers if we assist them in securing a new career.


T&C Manager, Compliance Adviser, Senior Compliance Manager, File Checker, Oversight Manager, Compliance