Financial Compliance Professional

1 week ago


Stoke Pound, United Kingdom AFH Wealth Management Full time
Job Description

Key Responsibilities:

  • Assist with regulated recruitment processes, including application, referencing, and certification of regulated individuals.
  • Support effective delivery and ongoing monitoring of Training and Competence within the business.
  • Collate relevant information pertaining to client rights under data protection legislation.
  • Complete third-party due diligence to support various compliance processes.

Additional Responsibilities:

  • Communicate effectively with clients, candidates, and internal stakeholders, both verbally and in writing.
  • Ensure all regulatory and internal requirements relevant to the role are satisfactorily adhered to in a timely manner.


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