INVESTMENT COMPLIANCE OFFICER / ADVISOR

WORK FROM HOME

We are working with an established and fast-growing firm who are looking for an experienced Investment Compliance Officer / Advisor with experience in Consumer Credit Lending and specifically submitting multiple applications to the FCA.

Key Responsibilities:

• Working with and consulting clients on a daily basis
• Working as a senior member of the FCA Regulated Investment team
• Liaising between clients and regulators
• Identifying opportunities with clients for additional product/service needs
• Conducting external client audits
• Drafting and submitting FCA applications, regulatory business plans etc
• Adhering to FCA guidelines and recording information to company standards
• Identifying regulatory risks within businesses and providing remedial action
• Work as part of a growing team
• Client call monitoring

Key Skills & Experience:

• Experience working for or as part of an FCA Regulated Investment firm is essential
• Previously drafted and submitted multiple applications to the FCA
• Excellent understanding of the FCA application process
• Confident to draft Regulatory Business Plans

APPLY NOW: Interviews for this position are available immediately, so please apply ASAP to avoid disappointment.