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Investment File Review Officer

  • Location

    Liverpool

  • Discipline:

    Compliance

  • Job type:

    Permanent

  • Salary:

    £Competitive Salary

  • Consultant:

    Michael Ayres

  • Email:

    mayres@merje.com

  • Job ref:

    MA/16971

  • Published:

    16 days ago

Investment and Financial Planning firm, located in the North West, are currently looking to hire a Regulatory Review Officer on a 12 month fixed term contract.

 

Key responsibilities include:

  • To carry out investigative and surveillance work across the Group.
  • To conduct interviews with senior personnel in relation to findings.
  • To implement the regulatory file review process and work and to complete any and all work in an accurate and efficient manner.
  • In the case of non-compliance ensure that relevant and accurate details are presented to the business for resolution.
  • To maintain and develop good working relationships with internal staff members and teams including senior personnel.
  • To be prepared to spend time away from home; regular travel to the Regional offices to complete work.
  • To maintain full and accurate records of any and all work carried out.
  • To produce timely and accurate reports for business consideration.
  • To provide an advisory service on regulatory issues and help to provide an efficient and effective service to the Group.
  • To contribute to and carry out projects as required.
  • Carry out any and all compliance duties as required in a prompt and efficient manner.

Experience Required:

  • Demonstrable/previous experience within an Investments / wealth management business.
  • Experience reviewing Investments files.
  • Knowledge of FCA regulations in relation to Investments / Wealth Management
  • Diploma level qualified