Well known Investment & Financial Planning business are looking to expand their Compliance team with the addition of a Compliance specialist to provide both compliance monitoring and assurance support.
Key Responsibilities:
•Support the compliance monitoring program, providing insight into high-risk elements of business processes and supporting the wider team to maintain effectiveness.
•Support the 1LOD in developing complaint business processes and ensuring positive client outcomes.
•Conduct 2LOD regulatory file reviews to assess whether the advice provided to clients is in line with regulatory expectations and that all regulatory obligations have been met.
•Support the Handling of FCA regulated complaints related to the financial planning business unit and be one of the company’s key contact for the Financial Ombudsman Service (FOS)
•Provide oversight of the financial planning businesses by performing thematic reviews into business activities
•To advise the business on wider regulatory responsibilities.
•As required, act as a representative of the compliance function and promote a strong compliance culture across the organisation
•To conduct technical compliance reviews of client files and deliver feedback to first line as appropriate
The Ideal Candidate:
•Level 4 Advice Qualification, (e.g. DipPFS, DipFA)
•Compliance Monitoring experience, 1st or 2nd line
•Financial planning knowledge