Compliance Specialist
2 days ago
Vision-FS Recruitment is seeking a highly skilled Compliance Consultant to join its rapidly-expanding Compliance team. As a leading financial wellbeing and retirement specialist, our client works with hundreds of businesses across the private and public sector, offering financial education, guidance, and regulated financial advice.
Key Responsibilities- Conduct thorough file reviews and maintain a log of checks undertaken to ensure compliance with UK regulations.
- Verify the completeness and consistency of all documentation, including Adviser recommendations to clients.
- Assess Adviser recommendations for suitability, in respect of the firm's discretionary managed service, ISAs, Pension, Annuity broking, Pension Transfers/Switches & Drawdown.
- Communicate findings with Advisers and senior management, monitoring and assessing remedial action to ensure satisfactory completion.
- Deliver the Compliance Monitoring Plan and identify issues or trends that may adversely affect the business's ability to comply with applicable legislation and/or regulations.
- Produce compliance review reports for Senior Management and follow-up activities to ensure effective remediation of issues identified.
- Review and sign off literature and educational presentations against the firm's services and the FCA Financial Promotion rules.
- Undertake, monitor, and record anti-money laundering checks.
- Diploma in Regulated Financial Planning and/or a Diploma in Investment Compliance (desirable but not essential).
- Detailed knowledge of the UK regulatory environment.
- Experience in a focused Compliance role.
- A competitive salary up to £33,000.
- Annual bonus.
- 25 days' Annual Leave.
- Pension (6% employer/3% employee).
- PMI.
- Study Support.
- Income Protection.
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