Business Compliance Consultant

Posted 9 March by Reed Insurance Featured
An exciting opportunity for an experienced Business Compliance Consultant to join an innovative leading Organisation in Wealth Management!

This organisation is a leading provider with an excellent reputation of delivering real results for its clients. They provide a rounded service and are looking for a hard working Business Compliance Consultant to join their well-established team.

Your main role will involve providing professional and quality advice measuring compliance with UK regulations in line with the FCA conduct of Business Sourcebook.

Salary: Competitive Salary PLUS Excellent Benefits Package.



Duties Include:

• Carry out file reviews and maintain a log of checks undertaken:
o Check all documentation for completeness and consistency
o review and validate Adviser recommendations to clients, in respect of the firms discretionary managed service, tax wrappers such as ISA, Pension, Annuity broking, Pension Transfers & Drawdown
• Undertake, monitor and record anti-money laundering checks
• Communicate any findings with both the Adviser and appropriate senior management
• (Monitor and assess the remedial action to ensure satisfactory).
• Complaints handling and reporting
• Review and sign off literature against the firms services & the FCA Financial Promotions rules
• Keep up to date with relevant UK regulations & feedback any impact to the business
• Prepare and review business compliance Key Performance Indicators
• Carry out peer checks
• Assess and action all decline leads ensuring internal processes have been adequately met
• FCA Reporting
• Assist with other operational duties as necessary

An Ideal Candidate will have:

• Good analytical and problem solving skills
• Investment & pensions experience within the financial services industry
• Good awareness of the UK regulatory environment
• Strong written and verbal communication skills
• Good working knowledge of Word, Excel, Outlook, etc
• Thorough approach to work, with good attention to detail
• A flexible and proactive approach with the ability to work under the pressure of deadlines
• Ability to work on own initiative where required

If this sounds of interest, please contact Rebecca Hunt on 0161 833 2033 or by email on as soon as possible to be sure to not miss out on this opportunity.

Reed Specialist Recruitment Limited is an employment agency and employment business

Reference: 34649574

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