Compliance Support Consultant - North West

Our Client is well known throughout Financial Services and IFA Industry. They are now looking to meet with an Experienced Compliance Support Consultant.

Purpose of the role:

To effectively deliver excellent feedback and guidance to individual advisers through individual file reviews.


* Review client files, including complex cases, to a high standard and prepare detailed and coherent reports and present appropriate remedial action necessary to comply with FCA Rules & TCF Principles and in doing so provide compliance services to best market standards.

* Actively manage the file review relationship with advisers to ensure excellent customer service.

Experience, Skills & Qualifications Required:

* Detailed and wide ranging knowledge of the FCA Rules and Principles with a sound technical knowledge

* Good background knowledge of FCA Conduct of Business and advice process requirements.

* Good knowledge of financial services markets, compliance processes and structures.

* Diploma in Financial Planning

* AF3

* G60, JO5 or any other Pension Qualification (Ideal)

* Certificate in Financial Planning (or equivalent)

* Recent experience in a similar role.

There is an Excellent Salary & Benefits Package Available!

Required skills

  • Compliance
  • IFA
  • Level 4 Diploma
  • Pension Transfers
  • AF3

Application questions

Are you a British / EU Passport Holder?
Do you have experience of working in a similar role?
Are you Level 4 Diploma Qualified which includes AF3?
Do you have any IFA / Compliance Experience?
Do you have Pension Transfer Experience?

Reference: 32707572

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