Compliance Officer, Finance & Banking

Do you hold a Level 4 Diploma in Financial Advisory?

Carry out file reviews and maintain a log of checks undertaken:

• Check all documentation for completeness and consistency
• Review and assess Adviser recommendations to clients for suitability and for compliance with internal procedures and wider legislation, in respect of the firm’s discretionary managed service, ISAs, Pension, annuity broking, pension transfers/switches & drawdown. Communicate any findings with both the Adviser and appropriate senior management
• Effectively assess and oversee the resolution of remedial action to ensure satisfactory completion
• Assist with the delivery of the Compliance Monitoring Plan (CMP)
• Complaints handling and reporting
• Review and sign off literature and educational presentations against internal requirements, relevant legislation and rules including HMRC & the FCA Financial Promotion rules
• Undertake, monitor and record anti-money laundering checks
• Carry out peer checks
• Keep up to date with relevant UK Legislation that impacts the business
• Prepare MI and KPI data
• Be passionate about and demonstrate behaviours in line with the Company’s ethos, vision and key principles
• Assist with other operational duties as necessary