Compliance Consultant

2 weeks ago

Altrincham, United Kingdom ST Resourcing Ltd Full time

We have an excellent opportunity for an experienced Compliance Consultant to join an established Wealth Management firm based in Altrincham. Salary c£45k plus excellent benefits.

**About the role**

**Key responsibilities and accountabilities**

The Compliance consultant is a member of the helpdesk team and is expected to provide a prompt and professional level of service consistent with the level of service offered by the rest of the business. Team members liaise with and provide assistance toother departments as necessary.
- Review of financial promotions, client agreements and websites and provision of written feedback.
- Review of draft RegData returns.
- To assist in the review of complaints on behalf of clients including investigating the complaint on behalf of the client and drafting Senior Management response letters
- Ensure that all administration processes are followed.
- Working as part of a team so that team service standards are met.

**Job challenges**
- Providing guidance in areas that may involve ethical dilemmas or conflicts of interest for clients.
- Dealing with a demanding workload and managing written work and helpdesk telephone responsibilities effectively.
- Managing workload to ensure timely delivery of tasks under pressure.
- Understanding when queries may need to be referred to other departments in order to provide a better service to the client.
- Maintaining an audit trail on all actions via Microsoft CRM.

**Qualifications/Experience**
- To be qualified to Regulated Diploma standard (QCF Level 4).
- Broad compliance knowledge relevant to the key tasks of the role.
- Excellent written and verbal communication skills.
- Effective administrative skills.
- Must have good interpersonal skills and be a team player.

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