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Compliance Specialist

2 months ago

Liverpool, Liverpool, United Kingdom Vision-FS Recruitment Full time
About the Role

Vision-FS Recruitment is seeking a highly skilled Compliance Consultant to join its rapidly-expanding Compliance team. As a leading financial wellbeing and retirement specialist, our client works with hundreds of businesses across the private and public sector, offering financial education, guidance, and regulated financial advice.

Key Responsibilities
  • Conduct thorough file reviews and maintain a log of checks undertaken to ensure compliance with UK regulations.
  • Verify the completeness and consistency of all documentation, including Adviser recommendations to clients.
  • Assess Adviser recommendations for suitability, in respect of the firm's discretionary managed service, ISAs, Pension, Annuity broking, Pension Transfers/Switches & Drawdown.
  • Communicate findings with Advisers and senior management, monitoring and assessing remedial action to ensure satisfactory completion.
  • Deliver the Compliance Monitoring Plan and identify issues or trends that may adversely affect the business's 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.
  • Review and sign off literature and educational presentations against the firm's services and the FCA Financial Promotion rules.
  • Undertake, monitor, and record anti-money laundering checks.
Requirements
  • Diploma in Regulated Financial Planning and/or a Diploma in Investment Compliance (desirable but not essential).
  • Detailed knowledge of the UK regulatory environment.
  • Experience in a focused Compliance role.
What We Offer
  • A competitive salary up to £33,000.
  • Annual bonus.
  • 25 days' Annual Leave.
  • Pension (6% employer/3% employee).
  • PMI.
  • Study Support.
  • Income Protection.