Legal Risk and Compliance Officer

2 weeks ago


Liverpool, Liverpool, United Kingdom Broster Buchanan Full time
Job Description
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):
Completion of scheduled monitoring reviews in a timely manner;
Identify and investigate issues and/or trends which may adversely affect the businesses ability to comply with applicable legislation and/or regulations;
Produce compliance review reports for Senior Management;

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