We are delighted to be working with this directly authorised firm of financial planners who look to go the extra mile when building long term relationships with their clients.

Overall responsibility (SMF16) for the 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.

Compliance Monitoring Officer

Part Time (16-25 Hours per week)
Office Based, with Hybrid Option Available
Chelmsford
Salary £70,000 Pro Rata + Benefits.

General Overview

• 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 plans and ensure 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.
• 3rd party checks and introducer agreements

Benefits

• Workplace Pension
• Discretionary Company Bonus of £100 per month
• 22 days holiday + bank holiday + "free" holiday between Christmas and new Year
• Free parking
• Beautiful grounds and gardens which staff can use for lunches etc
• Typically free lunch once a week on a Wednesday