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|Salary||£22k to £30k|
Business Compliance Consultant Liverpool £22,000 - £28,000
We are working with a leading provider of financial education who is recruiting for a Business Compliance Consultant in Liverpool. Fantastic salary and excellent benefits.
This role is to Provide an effective and professional advice quality service; measuring compliance with UK regulations particularly in line with the FCA Conduct of Business Sourcebook.
Assisting the business, especially the adviser sales and adviser support teams by providing day-to-day support as required.
Carry out file reviews and maintain a log of checks undertaken:
- check all documentation for completeness and consistency
- review and validate Adviser recommendations to clients, in respect of the firms
- discretionary managed service, tax wrappers such as ISA, Pension, Annuity broking,
Pension Transfers & Drawdown
Undertake, monitor and record anti-money laundering checks
Communicate any findings with both the Adviser and appropriate senior management
(monitor and assess the remedial action to ensure satisfactory).
Complaints handling and reporting
Review and sign off literature against the firms services & the FCA Financial Promotions
Keep up to date with relevant UK regulations & feedback any impact to the business
Prepare and review business compliance Key Performance Indicators
Carry out peer checks
Assess and action all decline leads ensuring internal processes have been adequately
Assist with other operational duties as necessary
Certificate in Financial Planning or equivalent
RO4 or equivalent
*Working towards or willing to work towards attaining the Diploma in Financial Planning or equivalent.
Diploma in Financial Planning
J05 Pension Income Options
Diploma in Investment Compliance or equivalent
If you think you have the skills required and would like to apply, please submit your CV
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