Compliance Consultant / File Checker

Our wealth management client have enjoyed sustained growth and continue to have a unique and successful business model. They now require a further compliance / new business support individual

The individual will support their advice function with duties including the following:-

• 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, in respect of the firms discretionary managed service, ISAs, Pension, Annuity broking, Pension Transfers/Switches & Drawdown.
• Communicate any findings with both the Adviser and appropriate senior management (monitor and assess the remedial action to ensure satisfactory completion) Responsibility for the delivery of the Compliance Monitoring Plan (CMP):

Candidate Requirements:

Key experience includes business file checking from a bank, life company or IFA firm

Qualified to RO1 minimum and ideally full Level 4

Investment & pensions experience within the financial services industry.

The Rewards

A negotiable basic salary together with an employee benefits package.