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Business Compliance Consultant

Posted 9 March by REED Insurance Easy Apply Featured Ended
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.

IT IS ESSENTIAL THAT YOU HOLD:

• CERTIFICATE IN FINANCIAL PLANNING OR EQUIVELANT
• R04 OR EQUIVELANT


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 Rebecca.Hunt@reedglobal.com 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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