Reed Financial Services are pleased to represent an independent Financial Advisors firm based in Chelmsford, Essex that provides an array of services, including Pensions, Savings & Investments and Protection to clients and businesses. They pride themselves on a proactive approach, advisor opposed to selling mindset and respect at all times.

They are looking for a Compliance Officer on a part-time basis (20hours per week). Advertised as office-based, for the right candidate they are happy to come to a hybrid agreement for those not within commuting distance.

Responsibilities:

• Overall responsibility (SMF16) for day-to-day compliance of the business under the guidance of Simplybiz- Including responsibility for implementation of Consumer Duty and maintenance of Senior Management and Certification Regime

• Delegated responsibility for complaints

• Chairing Senior Management meetings

• Supporting Investment committee

• Completion of Financial Resilience surveys

• Ensure the existing and new business processes and documentation meet current regulation and are fully version-controlled

• Point of contact for compliance queries internally

• Responsible for co-ordinating compliance file checks with Simplybiz and Financial Advisers

• Responsible for signing off Compliance Remedial Work completed by advisers

• Undertaking Fact Find and Adviser Observations

• Responsible for undertaking adviser KPIs and Development Actions plans and ensuring their CPD / SPS is up-to-date

• Maintaining and updating Compliance records

• Responsible for updating compliance plans as and when required

• Responsible for updating FCA register as required

• Responsible for ensuring staff have signed latest declarations

• Ensuring compliance of advertising and promotions

• Ensuring that relevant checks are carried out on new advising staff

• Responsible for ensuring that staff are informed of any new relevant regulation and updating

• staff in monthly team meetings

• Facilitating compliance file checks and chasing advisers for missing information

• New starter documentation process

• Facilitating Annual compliance tests

• Liaise with Simplybiz on bi-annual visits / audits

• Responsible for assisting Finance Director on Gabriel returns (RegData)

• 3rd party checks and introducer agreements

• Overflow time: Compliance file checks

Requirements:

• All plans maintained and renewed before expiry date

• All Advance Wealth business processes meet current regulation

• All staff have adequate records on file to meet the regulation requirements specific to their role

• Ensure Files checks are returned in a timely manner from Simplybiz and remedial work is completed in line with SLAs

• FCA register is up to date