Financial Planning Compliance Specialist

14 hours ago


Leicester, Leicester, United Kingdom CV-Library Full time

We are representing a credible Firm of Independent Financial Planners who have a large presence throughout the Midlands.

Job Overview

This 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 Role

The 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.

  1. Check trainee advisers' advice pre-sale until signed off as per the T&C Scheme.
  2. Summarise findings to discuss at monthly Compliance T&C meeting.
  3. Feedback to the compliance team if areas not meeting standards are identified.
  4. 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.
  5. Support the Senior Compliance Manager when required.
  6. Engage in other special projects of investigation and compliance support when required.
  7. Comply with the Financial Services and Markets Act 2000 and the relevant FCA rules at all times.
  8. 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.
Requirements

Please note that this job requires a strong understanding of regulatory requirements and experience working in a similar role.



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