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Compliance Support Consultant - North West

Posted 2 February by Compliance Resource Solutions Ltd (CRS) Ended

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

Reference: 32707572

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