Compliance Officer

Financial Services
Job Type: Permanent
Location: Leeds

£25000 - £30000 per annum
Posted on:
October 27, 2016
Phone: 01277 546033
Url :


Leading financial services firm are looking for a Compliance Officer for their office in Leeds. Working closely with the Compliance Monitoring and Training & Competence division you will have good exposure to risk profiling, monitoring / complaint handling with a knowledge of T & C practices.

Duties include:

Monitor Training & Competence (T&C) arrangements.

Review and monitor managed portfolio issues, including risk profiling and assessment of suitability.

Supervise and monitor business risks.

Update the business on new regulatory risks affecting the organisation.

Maintain and promote a 'TCF' culture.

Ensure front office compliance with FCA requirements, Code of Conduct and T&C framework.

You will have experience of portfolio management and/or wealth management.

Ideally you will hold the CISI Level 4 Investment Advice Diploma / Level 4 CII & CFA FCA or CISI Diploma in Investment Compliance.

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