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Compliance Analyst

Compliance Analyst

Posted 25 June by REED Insurance Easy Apply Ended
We are recruiting for someone to join a super Financial organisation in Horsham that is seeking new team members to join the outstanding compliance team to assist on the Q&A team. 
For this role you will be maintaining comprehensive file monitoring across the network and undertake quality of advice reviews on a day to day basis. 

• Maintain a systematic, comprehensive scheme of file monitoring across the Network, in accordance with regulatory requirements
• Undertake a quality of advice reviews across all areas of the business and all AR firms, maintaining accurate records of trends and communicating them to the team within desired timescales
• Undertake enhanced monitoring, risk assessment tasks and focused business reviews as per the needs of the business and/or instructions of the management team
• Assess and review suspense account and new business reports for analysis of trends
• Attend Compliance Team Meetings, compile Minutes where required and add to discussion as appropriate
• Undertake supporting monitoring tasks for the compliance team as required
• Liaise with the team on associated tasks and projects, and provide constructive input
• Liaise effectively and confidently with senior management
• Provide telephone support for the Compliance Department as required

Level 4 Diploma in Financial Planning ideally or Minimum of CertPFS (or equivalent), with significant progress towards the achievement of a level 4 Diploma
• Equity Release/lifetime mortgages – ER1 & HR1 or equivalent
• Occupational pensions – JO4, JO5 & AF3 or equivalent
• Long Term Care – CF8 or equivalent
• Mortgages – CeMAP/CF6 or equivalent

Reed Specialist Recruitment Limited is an employment agency and employment business

Reference: 34579639

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