Compliance Officer

2 weeks ago

London, United Kingdom Pinnacle Wealth Management Full time

**Main Purpose of Job**
- To liaise with and guide Financial Advisers to ensure that business submitted is compliant with St. James’s Place and Pinnacle Wealth Management’s quality standards.

**Key Responsibilities of the Job**
- Ensure the maintenance of a “single view of the truth” (Business Submission Register) in so far as data and information management is concerned
- Provide a comprehensive personal and confidential administrative service to all sales advisers
- Compliant submission of New Business cases to Business Assurance.
- Adhere to procedures and systems which will ensure the efficient running of the Administration Team
- To prioritise work appropriately to meet competing demands
- Investigate and respond to adviser queries in a timely manner
- Maintain appropriate filing and record systems, including confidential documents and files to ensure immediate access when required
- Ensure all aspects of regulatory compliance are adhered to in regard to St. James’s Place’s procedures, external regulatory and statutory requirements such as procedures, health and safety etc.
- Assist with monitoring and reporting
- To create a personal development plan and present it to the New Business Manager
- Undertake and lead training on key business areas as required to new team members
- Undertake any other relevant tasks and duties as required by Pinnacle Wealth Management LLP.

**Requirements of the Job**
- Strong and effective communicator.
- Ability to work under pressure and meet deadlines.
- Solution and service orientated.
- Technology savvy and willing to embrace new systems and software.
- Good analytical and decision-making skills.
- Strong influencing skills.
- Discrete and professional in all communication.
- Strong emotional intelligence.
- Effective listener.
- Willingness to challenge in a constructive and non-confrontational manner.
- Organised multi-tasker and effective prioritisation.
- Adaptable and flexible.
- Self-motivated and willing to work at times in isolation and as part of a wider team.

**People Management Responsibilities**

Whilst no direct management responsibilities exist, the need to build strong relationships with each adviser is essential.

**Interpersonal Skills**

Required to influence across the business. High levels of energy and tenacity to promote compliance across 1st line. Strong interpersonal skills

**Salary**: £25,000.00-£30,000.00 per year

**Benefits**:

- Company events
- Company pension
- Work from home

Schedule:

- Monday to Friday

Supplemental pay types:

- Yearly bonus

Ability to commute/relocate:

- London: reliably commute or plan to relocate before starting work (required)

Application question(s):

- Do you have a genuine interest in wealth management?

**Education**:

- A-Level or equivalent (required)

**Experience**:

- Administrative: 3 years (required)

Work Location: In person

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