£65,000 + Benefits
26 days ago
Job Description: 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:
- 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.
- 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.
- Maintain and manager the firm’s data protection assessment register
- Relevant broad based Compliance experience within a Wealth, IFA or Financial Planning environment
- Minimum Level 4 qualified
- Strong interpersonal skills – engagement with a variety of stakeholders across the business
- Good attention to detail
- Strong oral and written communication