I am working with an Independent Financial Advice firm who are looking for a Senior Compliance Associate to join the team. This is a fantastic opportunity for someone wishing to join an exciting wealth management group focussed on providing top quality financial advice and wealth management services to retail and professional clients.
The role will involve:
• Inputting amendments to the FCA register via Connect including registering new advisers. The role will include liaising with HR to obtain background checks, the T&C Manager regarding competency assessments.
• Tracking and reporting on the progress on proposed FCA applications.
• Assisting with the completion/submission or regulatory returns.
• Collating and reporting compliance focused MI for the executive.
• Supporting the COO in reviewing the firm’s various policies and procedures from a compliance and risk management perspective.
• Supporting the COO in reviewing and updating the risk registers across the business.
• Be one of the team investigating and responding to complaints, including performing root-cause analysis/
• Manage the root-cause analysis process, tracking the progress made with mitigating actions and assessing the success or otherwise of these actions.
• Assisting with the actioning the Consumer Duty Implementation plan.
• Assisting with addressing day-to-day compliance related enquiries from the business.
• Reviewing regulatory development, including FCA papers/ communications and to summarise key announcements for Compliance reporting to the executive and companywide Newsletter.
• A strong knowledge of financial planning, investment and protection products, risk and the advice process.
• Familiar with wealth management, discretionary fund management, pension management (SIPPs) and applicable regulations
• A strong understanding of the regulatory environment, and regulatory expectations in terms of advice standards and record keeping
To discuss the role in greater detail please contact Paul Clayton on 0161-883-2747 or send through your CV to firstname.lastname@example.org