Compliance Analyst
Heat Recruitment
2d ago

The opportunity for an experienced compliance professional to join an established IFA group who provide exemplary wealth advice to their clients.

The Opportunity

Our client is looking for an experienced Compliance Quality & Risk Analystto deliver the function’s File Review Service to Directly Authorised IFA firms.

You will have the opportunity to work autonomously whilst working within a small team environment. You will be responsible for setting up and monitoring compliance processes alongside advising the IFA's relating to FCA regulation.

What’s needed for me to be considered?

  • In order to be considered, candidates ideally need to have;
  • Demonstrable experience of providing compliance and training support to Directly Authorised IFA firms or within a Network of Financial Advisers or National IFA
  • Level 4 or 6 Advanced Diploma working towards Chartered Status and or Level 7 or 8
  • Significant compliance experience within the financial services, preferably DA IFA sector, network, national and in an investment or insurance environment.
  • What 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 £200 in vouchers if we assist them in securing a new career.

    Job Synonyms : Risk Analyst, IFA, Compliance, Monitoring, File Review

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