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Compliance Consultant

Posted 26 February by REED Insurance Featured Ended
An exciting and unique opportunity has become available for a bright professional to join a highly successful and prestigious IFA firm as a Compliance Consultant.

My client are a nationwide firm of Independent Financial Advisers advising across a range of financial products including, Investments, Personal Pensions, Corporate Pensions, Protection, Mortgages and Life Assurance. The firm are set for more growth plans this year and early next year with a few business acquisitions lined up. They are currently seeking an experienced Compliance Consultant to join their established team.

Your role’s responsibilities will include:

-To understand the Firm’s Advice Guidance in order to maintain and develop the knowledge of the firm’s technical approaches
-To conduct advice audits both on pre and post-submission basis in line with the T&C scheme
-To deliver informative and constructive feedback to IFA’s in connection with audits
-Dealing with day-to-day advice and regulatory queries from other departments
-Involvement in investigations into client complaints following the firm’s standard complaints procedure
-Performing an assessment on specific case-types

The experience you need:

-Diploma in Financial Planning as a minimum requirement
-Experience in an IFA environment
-Demonstrative quality in communicating constructive feedback
-High standard of written and numerical skills as well as high level of accuracy
-Aptitude in Microsoft Office
-Knowledge and experience in personal financial planning

Reed Specialist Recruitment Limited is an employment agency and employment business

Reference: 33692137

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