Back to search
Compliance Consultant
Location: Liverpool/office-based position with flexible hours
Salary/Package: Up to £40,000 (depending on experience), annual bonus, 25 days’ annual leave, pension (6% employer/3% employee), PMI, study support, income protection
YOUR NEW COMPANY
Our client is a leading North West-based 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 a Compliance Consultant to join its 12-strong Compliance team based at the firm's head offices in Liverpool. The position is office based with flexible hours.
THE ROLE
Reporting to the Head of Compliance, 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
- Responsibility for the delivery of the Compliance Monitoring Plan (CMP)
- Completion of scheduled monitoring reviews in a timely manner
- 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
- Assess and action all decline leads ensuring internal processes have been adequately met and ICO regulations adhered to
WHAT YOU'LL RECEIVE:
The successful candidate for the Compliance Consultant vacancy will receive:
- A salary of up to £40,000 (depending on experience)
- Annual bonus
- 25 days’ Annual Leave
- Pension (6% employer/3% employee)
- PMI
- Study Support
- Income Protection
WHAT YOU'LL NEED TO SUCCEED
Suitable candidates interested in the Compliance Consultant vacancy will have the following criteria:
- Financial Services compliance background preferred
- Level 4 qualifiedORFPC qualified + RO4
- Role suitable for Compliance professionals, Paraplanners and Advisors
NEXT STEPS
If you are happy to apply for this position, please click on the apply button and remember to attach a copy of your CV. One of our consultants will be in touch to discuss the opportunity and answer any questions you may have around the role. Where appropriate we can also recommend other relevant opportunities to you that match your requirements.
Synonyms: Compliance, T&C, Quality Assurance, IFA, Financial Planning, Retirement Specialist, Pensions, Retirement Planning, Level 4, FCA, Paraplanner, Financial Advisor
