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Job Specification

Technical Compliance – Retail Compliance Experience and Level 4 Qualified Required

£40K + Generous Benefits | SW London/Surrey
Ref: 3393R

UK & Ireland / Compliance (inc Conduct Risk/COBS) / Permanent

 
 
Our Client, a leading Financial Advice/Wealth Management Company, is looking for a compliance technical executive to assist in the help and guidance given to Partners and staff to include the pre-approval of certain types of new business. The post holder will be involved in many areas of Compliance and will therefore need to be able to handle multiple tasks. Duties will include;
 
• Undertake the review of pension cases requiring pre-sale approval with a view to clear and prompt feedback to Partners and paraplanners.
• Undertake the investigation and processing of complaints, where requested.
• Undertake reviews of past business cases as part of a formal past business review, if requested.
• Maintain accurate and consistent records, enhancing them as requested, of pre-sale approval cases, complaints and past business reviews.
• Assist with collating Management Information to include FCA reporting.
• Assist with risk audits
• Action mail entering the Compliance Technical Inbox within set service standards.
• Assist with the updating and maintenance of internal processes and procedures.
• Assist with maintaining internal Compliance registers e.g. pre-sale approval registers.
• Assist in ad-hoc projects for the Compliance and Business Quality team as required.
 
You should be at least Level 4 qualified with experience of working in a compliance department within a retail financial advisory business and ideally experience of reviewing new business files and carrying out pre/post sale file reviews.
 
For further information or a confidential no obligation discussion, please feel free to call David Crook on 020 7330 6963 or send your details to him at dcrook@compliancerecruitment.com
 

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