We are a well-established Wealth Management business with clients throughout the UK. We are expanding our Compliance Team based at our Sutton Coldfield offices.
Key Responsibilities of the role - The role encompasses a wide range of activities, but principally involves checking a sample of new business recommendations made by our Wealth Managers to ensure the advice is suitable and meets regulatory requirements.
- You will review the recommendations, provide feedback to the Wealth Managers and ensure any required amendments or additions are completed before the recommendation is completed.
- You will also compile and collate key performance data and management information required to monitor adviser performance and ongoing competence, conducting periodic meetings with Wealth Managers, to provide feedback on strengths, development areas and training and coaching as appropriate.
- You will also provide technical support to Wealth Managers and other colleagues on compliance and regulatory matters, as well as supporting the Compliance Manager on new projects and initiatives.
Key skills and attributes required
- You should have previous compliance experience - e.g. from working in a compliance team, ideally as a file checker, supervisor, para-planner or possibly in an audit role and preferably be fully level 4 diploma qualified, or working towards this.
- You should want to forge a long-term career in compliance and have the ability to build positive relationships whilst not being afraid to delve deeper, challenge where appropriate or feedback difficult messages to individuals at all levels.
- Excellent communication skills are therefore a key requirement, as is a good technical knowledge of financial services products, features and benefits.
- You will have strong organisational and analytical skills with good attention to detail, and an ability to see the bigger picture. The ability to extract key messages from large volumes of information and communicate them in concise, plain-English would also be an advantage.
- Familiarity with the Microsoft Office suite is essential whilst previous experience of Intelligent Office and cash flow modelling systems would be beneficial.
We offer a competitive salary and benefits package, including 25 days holiday p.a. plus holiday exchange scheme, auto-enrolment pension scheme, NHS top-up medical scheme, a friendly working environment with great transport links and the opportunity for career development for the right candidate.
- Analytical Skills
- Communication Skills
- Organisational Skills
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