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Our client is a leading financial wellbeing and retirement specialist, working with hundreds of businesses across the private and public sector by offering their staff financial education, guidance and regulated financial advice. As the company continues to grow, a requirement has arisen for an office-based Compliance Consultant to join its rapidly-expanding Compliance team.
Based at the firm's brand new offices in Liverpool city centre, the Compliance Consultant's role will be to provide an effective and professional governance, advisory & oversight service - measuring compliance with UK regulations particularly in line with the FCA Conduct of Business Sourcebook, HMRC, ICO legislation. The position will also involve providing day-to-day support to the adviser sales and adviser support teams. The Compliance Consultant's key duties will include:
- Carry out file reviews and maintain a log of checks undertaken
- Check all documentation for completeness and consistency
- Review and assess Adviser recommendations to clients for suitability, in respect of the firms discretionary managed service, ISAs, Pension, Annuity broking, Pension Transfers/Switches & Drawdown
- Communicate any findings with both the Adviser and appropriate senior management (monitor and assess the remedial action to ensure satisfactory completion)
- Responsibility for the delivery of the Compliance Monitoring Plan
- Identify and investigate issues and/or trends which may adversely affect the businesses ability to comply with applicable legislation and/or regulations
- Produce compliance review reports for Senior Management
- Follow-up activities to ensure effective remediation of issues identified from the monitoring reviews and take responsibility for the delivery of agreed corrective actions and resolution of issues where appropriate
- Review and sign off literature and educational presentations against the firms services & the FCA Financial Promotion rules
- Undertake, monitor and record anti-money laundering checks
The successful candidate for the Compliance Consultant vacancy will receive:
- A salary up to £33,000
- Annual bonus
- 25 days’ Annual Leave
- Pension (6% employer/3% employee)
- PMI
- Study Support
- Income Protection
Suitable candidates interested in the Compliance Consultant vacancy will have the following criteria:
- Diploma in Regulated Financial Planning and/or a Diploma in Investment Compliance (desirable but not essential)
- Detailed knowledge of UK regulatory environment
- Experience in a focused Compliance role
Next steps:
If you are happy to apply for this position, please click on the Apply button and attach an updated copy of your CV.
Vision-FS Recruitment is a leading London City based Financial Services Recruitment business and cover the entire UK market. Vision-FS Recruitment was founded to specialise within the IFA/Wealth Management, Private Banking and Employee Benefits Recruitment.
