Compliance Specialist

7 days ago


Bournemouth, Bournemouth, United Kingdom Fram Executive Search Full time
Compliance Assistant Job Description

Our client, a respected financial planning firm, is seeking a Compliance Assistant to join their team. This is a remote opportunity with occasional office attendance, ideal for those living in the Southeast of England Southern Home Counties.

Key Responsibilities:
  • Assist in the review and assessment of advice provided by the firm's Financial Planners and Appointed Representatives.
  • Ensure accurate compliance records are maintained and report any identified compliance issues.
  • Support the Head of Compliance in ensuring the firm operates in accordance with relevant regulations and legislation.
  • Contribute to the review, update, and implementation of policies and process standards.
  • Assist with the gathering, recording, and reporting of relevant Management Information.
  • Monitor the firm's compliance with the Financial Services and Markets Act 2000 and relevant FCA rules.

Requirements:
  • Proactive and positive implementation of Consumer Duty.
  • Due regard to the interests of customers and treating them fairly.
  • Act in good faith towards retail customers.

About the Role:
This is an exciting opportunity to join a growing financial planning firm and contribute to their compliance efforts. If you are a detail-oriented individual with a passion for compliance, we encourage you to apply.

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