Business Compliance Consultant

8 months ago


Liverpool, United Kingdom Broster Buchanan Full time

Excellent base salary and company benefits.
- Fantastic exposure and career development.
- A role with mentorship and a superb supportive culture.
- 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.


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