c.£65,000 + Benefits
12 months ago
The role will involve supporting the Chief Risk Officer and Compliance Director with regard to both regular and ad-hoc compliance and regulatory tasks as and when necessary.
Key responsibilities include:
- 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 the firms Complaint Register.
- Prepare, audit and administer recruitment files for all new advisers, for approval by the Compliance Director to a standard that meets the requirement of the firm and the Financial Conduct Authority.
- Maintain and manage the recruitment, appointment and certification of advisers under the Senior Management & Certification Regime
- Maintain all Compliance Registers with the firm(s) as required.
- 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 and company directives.
- To assist the Compliance Director in producing regulatory and other returns as required from time to time.
- Review client files as directed by the Compliance Director and provide feedback to advisers in line with the firm’s procedures.
- Maintain and manager the firm’s data protection assessment register,
- Minimum Level 4 qualified
- Understanding of the wealth management industry
- 5 years or more in a financial services environment, preferably wealth management
Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.