compliance officer Remote
Job description
Compliance Officer
The role
Are you looking for an exciting challenge within a company that is leading the way in Positive Impact Investing? Path Financial, an award-winning IFA that specialises in ethical, green and positive impact investment strategies, are seeking a dynamic and passionate Compliance Officer to join their highly motivated team.
As a Compliance Officer at Path you will identify, assess and manage regulatory risks, presenting pragmatic solutions that benefit our clients and the business. You will work closely with our team of dedicated financial advisers, paraplanners and the administration team to ensure that compliant best practice underpins our business. The role would suit someone with experience of file reviews and a background of assessing the suitability of advice / suitability reports.
A proactive and talented compliance professional to stay on top of regulatory changes and provide relevant updates and training to the financial planning team and support staff. We are looking for someone who can support us in continuing to ensure the business delivers our customers sound, quality financial advice that also supports their desire to do good with their money.
Typical responsibilities
· Supporting advisers and paraplanning; checking suitability, client files and advice, offering constructive feedback as appropriate
· Supporting the Senior Manager in delivering a robust Training & Competency programme
· Prepare reports for management and regulatory agencies regarding compliance activities including Reg/Data (Gabriel) returns, professional standards and training & competency work
· Advising on practical compliance with regimes such as Consumer Duty, GDPR, MiFID II and SM&CR
· Create, edit and maintain accurate and up to date compliance records, register and processes
· Provide guidance to advisers and support staff
· Deliver training and presentations to colleagues to increase compliance knowledge and awareness
· Investigate and resolve compliance issues, including conducting internal investigations as necessary
· Assist with compliance induction for new employees
Ideal candidate
- Level 4 Diploma, familiarity with FCA requirements for an authorised IFA firm
- You will have a breadth of technical compliance and industry knowledge and be passionate about compliance.
- A good understanding and knowledge of FCA rules around investments and pensions including protection
- Experience of conducting ongoing file reviews
- Conscientious and diligent, with at least two years’ experience working in a regulatory / compliance role
- Strong relationship-building skills, with the ability to support and motivate others whilst being sensitive to their roles and priorities
- Excellent, effective communication (both written & verbal) and interpersonal skills.
- Shares our passion for sustainability and ethical issues
- A confident and positive 'can do’ approach to this standalone role
- Working knowledge of Salesforce
- Excellent time management and organisation skills
About Path
We are Path Financial - at the forefront of a revolution in personal financial advice. We are expanding the team due to the rapid growth of our market-leading positive impact investment service.
We help customers align their pensions, savings and investments with their ethical beliefs. Many people do not realise that their financial decisions can have an enormous positive impact on the planet and its population. We are on a mission to change that.
Alongside the provision of financial security and capital growth to our clients, we have a clear focus on:
- Positive environmental impact
- Alignment with UN Sustainable Development Goals
- Ethically-led investment strategy
We've grown quickly over the last 3 years, having been covered repeatedly in the national press for our progressive ethos. We've featured in the likes of the FT, the Guardian, The Times and many others.
We're a very positive, open, inclusive, flexible and forward-thinking company. If this sounds like you, then please get in touch!
What we offer
· Negotiable salary
· Flexible working environment including remote or hybrid working
· 25 days holiday plus bank holidays
· Employer pension contribution & Salary Sacrifice for increased pension contributions
· Enrolment in the company bonus scheme following 6 months of service
- Support with career development and qualifications
Path is committed to ethical, inclusive and legally-compliant recruitment and employment practices. We encourage and support applications from candidates without discrimination and operate an equal opportunity workspace.
We aspire to have a diverse workforce because, in our view, diversity enables better business outcomes. We also believe that a more inclusive workplace, where people of different backgrounds work together, ensures better outcomes for all staff. From application to interview, we place inclusion at the heart of all we do.
For these reasons we strongly encourage suitably qualified applicants from a wide range of backgrounds.
Job Types: Full-time, Part-time, Permanent
Part-time hours: 37.5 per week
Salary: £40,000.00-£50,000.00 per year
Benefits:
- Casual dress
- Company pension
- Sick pay
Schedule:
- Monday to Friday
Supplemental pay types:
- Bonus scheme
Work Location: Remote
Reference ID: Path - Compliance 23
