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Compliance Specialist

2 months ago

Liverpool, Liverpool, United Kingdom Vision-FS Recruitment Full time
{"title": "Compliance Consultant", "description": "Compliance Consultant Role

Vision-FS Recruitment is seeking a highly skilled Compliance Consultant to join its rapidly-expanding Compliance team. As a key member of the team, you will be responsible for providing an effective and professional governance, advisory & oversight service to ensure compliance with UK regulations, particularly in line with the FCA Conduct of Business Sourcebook, HMRC, and ICO legislation.

Key Responsibilities:
  • Conduct file reviews and maintain a log of checks undertaken
  • Verify all documentation for completeness and consistency
  • Review and assess Adviser recommendations to clients for suitability, in respect of the firm's discretionary managed service, ISAs, Pension, Annuity broking, Pension Transfers/Switches & Drawdown
  • Communicate any findings with both the Adviser and appropriate senior management (monitor and assess the remedial action to ensure satisfactory completion)
  • Deliver the Compliance Monitoring Plan
  • Identify and investigate issues and/or trends which may adversely affect the business's ability to comply with applicable legislation and/or regulations
  • Produce compliance review reports for Senior Management
  • Follow-up activities to ensure effective remediation of issues identified from the monitoring reviews and take responsibility for the delivery of agreed corrective actions and resolution of issues where appropriate
  • Review and sign off literature and educational presentations against the firm's services & the FCA Financial Promotion rules
  • Undertake, monitor and record anti-money laundering checks
What We Offer:
  • A competitive salary up to £35,000
  • Annual bonus
  • 25 days' Annual Leave
  • Pension (6% employer/3% employee)
  • PMI
  • Study Support
  • Income Protection
Requirements:
  • 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
", "lang_code": "en"}