excellent attention to detail, the ability to understand and interpret information, great communication skills.
Starting salary of £18,500, increasing as your training develops. Circa £25,000 by the end of your second year, with £30,000+ for senior roles.
so what does being a compliance officer involve?
The compliance officer role was introduced in 2018 and is suited to someone who is forward-thinking and willing to get stuck in. But what is a compliance officer? In short, it’s someone who is an expert in regulation and carries out client file reviews to ensure they are fully compliant.
You will undertake on the job training alongside studying for your Level 4 Diploma in Financial Planning over a two year period, on your very own personally developed learning programme.
ensure regulation & guidance is met
carry out client file reviews
record & track on the apricity system
On successful completion of your probation you will start to become an expert in regulation and the rules and guidance that advisers need to follow to ensure their business, and its practices, are meeting industry guidelines. You will get involved with carrying out client file reviews, providing constructive feedback and ensuring that these responses are accurately recorded and tracked accordingly on the Apricity system.
As your role develops over the two years, we may require you to attend events, represent the company and get involved with the promotion and development of the business. By then, you will have a good understanding of your role, and ideally will be getting involved in assisting clients with technical queries, helping provide content for the system and providing our clients with a comprehensive compliance service. We will expect you to keep up to date with changes to regulation and help implement ways to keep our clients up to date with changes and provide them with relevant training resources.
Your initial qualifications will be under the CII (Chartered Insurance Institute). We’d expect you at the end of the two years to achieve the Diploma in Regulated Financial Planning.
the six exams which make up the diploma are:
Once you’ve got these, you can then explore a whole host of different qualifications with the CII or other examining bodies – even going as far as becoming a fully qualified Chartered Financial Planner for which we will happily pick up the bill for, in addition to your salary, meaning the costs aren’t a barrier to unleashing your full potential.
We won’t lie, we’re firm advocates of the phrase ‘work hard, play hard’ and that we do. Yes, there will definitely be times of hard work (so it’s not for the faint-hearted), but we do reward such hard work for those who truly live and breathe the company values. So, when the week’s done, we clock off early every Friday and kick back with a cheeky beer or wine.