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Compliance Specialist
2 months ago
We are seeking a highly skilled Compliance Consultant to join our team at Resource Matters Ltd. As a Compliance Consultant, you will play a critical role in ensuring our client's advice function is compliant with regulatory requirements.
Key Responsibilities- Conduct file reviews and maintain a log of checks undertaken to ensure compliance with regulatory requirements.
- 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, ensuring remedial action is taken to address any issues.
- Responsibility for the delivery of the Compliance Monitoring Plan (CMP), including 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, and follow-up activities to ensure effective remediation of issues identified from the monitoring reviews.
- Review and sign off literature and educational presentations against the firms' services & the FCA Financial Promotion rules.
- Undertake, monitor, and record anti-money laundering checks.
- Carry out peer checks, and assess and action all decline leads ensuring internal processes have been adequately met and ICO regulations adhered to.
- Assist with other operational duties as necessary.
- Certificate in Financial Planning RO4 or equivalent.
- Working towards or willing to work towards attaining the Diploma in Financial Planning or equivalent.
- Investment & pensions experience within the financial services industry.
- Candidates with transferrable skills, i.e., Paraplanners or ex Advisers.
A negotiable basic salary together with an employee benefits package. Our client employees enjoy a great working environment from a supportive employer.
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