Financial Planning Compliance Specialist
14 hours ago
We are representing a credible Firm of Independent Financial Planners who have a large presence throughout the Midlands.
Job OverviewThis is an employed desk-based role, providing Training and Competence supervision and assisting the Senior Compliance Manager for a medium-sized, friendly Independent Financial Services company based in the Leicester area.
About the RoleThe role will involve Training and Competence support for a number of Independent Financial Advisers (IFAs) and preparing KPI results to discuss at Training & Competence (T&C) monthly meetings.
- Check trainee advisers' advice pre-sale until signed off as per the T&C Scheme.
- Summarise findings to discuss at monthly Compliance T&C meeting.
- Feedback to the compliance team if areas not meeting standards are identified.
- Report any findings of non-compliance or issues that could cause client detriment to the Senior Compliance Manager, and carry out remedial action promptly and appropriately.
- Support the Senior Compliance Manager when required.
- Engage in other special projects of investigation and compliance support when required.
- Comply with the Financial Services and Markets Act 2000 and the relevant FCA rules at all times.
- Adhere to the relevant compliance, TCF, T&C, and financial crime (anti-money laundering, data security, anti-bribery, fraud and corruption) procedures of the company at all times.
Please note that this job requires a strong understanding of regulatory requirements and experience working in a similar role.
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