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Compliance Officer

4 months ago

Liverpool, United Kingdom Broster Buchanan Full time
  • 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;