Financial Planning Compliance Specialist

7 hours ago


Cardiff, Cardiff, United Kingdom Prestige Recruitment Group Full time

About the Role

Prestige Recruitment Group is working with a financial services company in Flintshire, North Wales to find an experienced AML / Compliance Analyst.

Job Summary:

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.

Main Responsibilities:

  • Monitoring file reviews to ensure compliance with regulatory requirements
  • Assisting the Compliance Manager in completing actions arising from the firm's Business Diary and Compliance
  • Providing training and competence for some of the Financial Advisors
  • Gathering MI required for the firm's internal and external reporting
  • Working on client pre-approvals
  • Reviewing file checks to identify any potential issues
  • Completing ad hoc projects as required

About You

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.

Benefits

This is an excellent opportunity to join a reputable financial services company and develop your career in Compliance.



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