almost 3 years ago
To support the Head of Group Compliance in maintaining and delivering effective monitoring of systems, controls and processes to safeguard the interests of our customers, advisers and the firms within the Group to meet the expectations of the Group and the Financial Conduct Authority in respect of the Fair Treatment of Customers.
To support the Chief Risk Officer, Business Standards Director and Head of Group Compliance with regard to both regular and ad-hoc compliance and regulatory tasks as and when necessary.
The role will involve:
- Deal with client’s complaints in line with the firm’s complaint handling procedures. Ability to liaise with complainants and 3rd parties to obtain suitable outcomes.
- Maintain and manage the firms Complaint Register.
- Maintain the Group’s Financial Promotions and advertorial approvals process in line with the FCA rules for Financial Promotions through to assessment and approval as appropriate by Head of Group Compliance.
- Approved person’s regime. Prepare, audit and administer recruitment files for all new advisers, for approval by the Head of Group Compliance to a standard that meets the requirement of the firm and the Financial Conduct Authority.
- Maintain all Compliance Registers with the firm(s) as required.
- Maintain the firms Document library and associated Gateway and Adviser Portal’s to ensure the availability of complaint documents to the adviser and paraplanning community.
- Create and edit compliance related documents as directed to meet the requirements of the firm and Financial Conduct Authority.
- Contribute to the content and maintenance of the Business Practices Manual.
- To assist the Head of Group Compliance in producing regulatory and other returns as required from time to time.
- Review client files as directed by the Head of Group compliance and provide feedback to advisers in line with the firm’s procedures.
- Diploma Level 4 qualified at a minimum
- Strong knowledge on Pensions and Investments
- Strong Compliance experience with a Wealth Management background