Compliance Consultant

Posted 4 days ago by Reed Insurance Featured
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

Application questions

Do you have experience and knowledge in personal financial planning?
Do you have experience working in an IFA environment?

Reference: 33692137

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