Compliance Specialist
4 weeks ago
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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