Wealth Management Regulatory Advisor

6 days ago


Cardiff, Cardiff, United Kingdom Prestige Recruitment Group Full time

A Prestige Recruitment Group client in Flintshire, North Wales is looking for an experienced AML / Compliance Analyst to join their team.

About the Role:

The successful candidate will be responsible for monitoring file reviews, assisting the Compliance Manager with Business Diary and Compliance actions, training and competence for Financial Advisors, gathering MI for internal and external reporting, and reviewing file checks.

Responsibilities:

  • Conducting regular file reviews to ensure compliance with regulatory requirements
  • Assisting the Compliance Manager in completing actions arising from the firm's Business Diary and Compliance
  • Delivering training and competence programs for some of the Financial Advisors
  • Gathering data required for the firm's internal and external reporting
  • Processing client pre-approvals
  • Examining file checks to identify any potential issues
  • Carrying out ad hoc projects as required

Requirements:

To succeed in this role, you will need to have obtained the Level 4 Diploma in Financial Planning Qualification or be working towards it. You should also have experience working within a Wealth Management environment and preferably in a Compliance function.

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