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Business Compliance Consultant

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Salary £22k to £30k
Type Permanent
Location Liverpool
Sectors Compliance
Operations
Job Reference UK2C/CXN/29167
Contact Christopher Neal
Date posted 26-06-2018

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.

Core responsibilities:

• 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
rules
• 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
met
• FCA Reporting
• Assist with other operational duties as necessary

Essential qualifications:

• Certificate in Financial Planning or equivalent
• RO4 or equivalent
*Working towards or willing to work towards attaining the Diploma in Financial Planning or equivalent.

Desirable qualifications:

• 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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Contact Christopher about this job

Associate, Consultant