Compliance Consultant

6 days ago


West Yorkshire, United Kingdom MERJE Ltd Full time

We are working with a well established financial planning firm that is looking to appoint an experienced Compliance Consultant. The Compliance Consultant will not only possess technical expertise, but also excellent communicate skills, both written and verbal, in order to cultivate client relationships of trust and mutual respect. This role is for a self-starter who has exceptional drive and determination and is able to manage their own workload in order to deliver excellent service efficiently and effectively. A certain level of travelling to client sites will be required although many of the services can also be delivered remotely. A clean driving licence and own car would therefore be required. Key Responsibilities Keeping up to date with, and understanding, relevant laws and regulations Monitoring client financial activities to ensure they are legal and in compliance with internal and external policies Investigating irregularities and non-compliance issues Providing guidance to individual and firms on compliance matters Supporting firms to gain authorisations and permissions Working on projects, such as rules analysis, thematic reviews etc. Providing financial promotions feedback Complaint handling support to firms where required Developing relevant compliance collateral Providing oversight services to firms as ... #J-18808-Ljbffr



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