Compliance Advisor – Financial Planning

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    about 2 years ago

The Client
Our client is an award winning investment management and financial planning business with a strong reputation across the UK. Due to ongoing structural growth, the business is looking to recruit an experienced Compliance Advisor to be responsible in helping to provide regulatory oversight for the firm’s Financial Planning business.
The Role
Reporting into the Head of Wealth Compliance you will:
• Act as first point of contact for the financial planning business looking to promote compliance awareness and good practice in compliance and T&C 
• Provide advice and pragmatic solutions 
• Assist the financial planning business to manage regulatory risk, including risk identification, assessment, mitigation and control 
• Produce accurate and timely monthly reports regarding activity and issues to senior management 
• Attend and support relevant financial planning management meetings 
• Work with team members to ensure all issues identified through monitoring, complaints and changes to regulations are appropriately addressed 
• Support the Compliance monitoring team and the wider Risk & Compliance team 
• Identify any risks to the business and ensuring that these risks are effectively evaluated, managed and mitigated
• Ensure that risk controls are designed to be effective
The ideal candidate should have the following profile:
• Strong regulatory experience gained within a Financial Planning/IFA environment 
• Excellent knowledge of FCA Rules in particular SYSC & COBS with ability to understand new regulation as it arises.
• Excellent written and verbal communication skills including the ability to influence at all levels with good judgement and decision making skills
• Strong organizational skills and ability to meet deadlines
• Qualifications: Degree holder preferable; CII level 4 qualified, CISI Compliance Diploma