Compliance Specialist

4 days ago

Liverpool, Liverpool, United Kingdom Resource Matters Ltd Full time
Compliance Consultant Job Description

Resource Matters Ltd is seeking a skilled Compliance Consultant to support their advice function in a wealth management business. The successful candidate will play a crucial role in ensuring the company's compliance with applicable legislation and regulations.

Key Responsibilities:
  • Conduct file reviews and maintain a log of checks undertaken to ensure compliance with regulatory requirements.
  • Verify the completeness and consistency of all documentation, including client files and adviser recommendations.
  • Assess adviser recommendations for suitability, focusing on the firm's discretionary managed service, ISAs, pensions, annuity broking, pension transfers/switches, and drawdown.
  • Communicate findings with advisers and senior management, monitoring and assessing remedial action to ensure satisfactory completion.
  • Deliver the Compliance Monitoring Plan (CMP), including completion of scheduled monitoring reviews in a timely manner.
  • Identify and investigate issues or trends that may impact the company's ability to comply with regulations.
  • Produce compliance review reports for senior management and follow up on activities to ensure effective remediation of issues.
Requirements:
  • Strong understanding of regulatory requirements and compliance principles.
  • Excellent analytical and problem-solving skills.
  • Ability to communicate effectively with advisers and senior management.
  • Strong organizational and time management skills.

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