Compliance Assistant
2 months ago
Working in a highly collaborative and successful environment, you will be part of a team that provides regulated financial and investment advice to clients in the UK and across Europe. As a Compliance Suitability specialist, you will review and assess suitability reports related to pensions, ISAs, General Investment Accounts, investment bonds (onshore and offshore) and trusts.
Review suitability reports to ensure that any financial and investment advice given to potential and existing clients meet the overarching suitability requirements of the Financial Conduct Authority
Provide feedback to the Training Program Manager on areas that require further improvement and development in the advice team.
Discuss possible process improvements with management and senior management.
Level 4 qualified – Diploma in Financial Planning/Regulated Financial Planning
Very strong understanding of financial planning principles with a specialism in pension planning
Able to clearly explain complex issues in writing and face-to-face.
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Compliance Assistant
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