The main purpose of this role is to provide compliance support across the group ensuring robust and commercial adherence to governance bodies and regulators.
Key responsibilities include:
- To review the suitability and quality of advice provided by our consultants to our clients and to ensure that any identified areas of concern or development needs are properly addressed. This will include assessment of the accuracy, completeness and suitability of cases including any for which additional qualifications may be required, for each of our consultants to ensure that they remain fully compliant with regulatory guidance, rules and that they have adhered to our Group Procedures.
- To assist in reviewing Financial Promotions, client agreements, disclosure documents, website content
- To support in handling the investigation of complaints and the drafting of Final Response Letters
- To identify and report to management on any significant trends or concerns regarding the quality of the business transacted or the way in which advisers conduct themselves.
- To also report on any other risks that may come to light when carrying out these activities.
- Previous experience of compliance file checking and complaints handling is very important. Will also need sound knowledge of the UK regulatory framework and understanding of regulatory risks relevant to the key tasks covered by the role.
- The candidate must be at least Level 4 Diploma Qualified (or equivalent) and ideally have additional qualifications e.g. G60, AF3, AF7, CF8, ER1 etc.