Competitive basic salary + fantastic benefits package
My client, a prestigious Financial Services business, are seeking to appoint an experienced Compliance Consultant in their Liverpool City Centre based office. The sole purpose of this role is to provide effective and professional advice quality services, ensuring adherence to UK regulations particularly in line with the FCA Conduct of Business Sourcebook. This is a fantastic opportunity to join an organisation with established industry reputation, well-known for nurturing staff career progression prospects and providing full support for studies towards industry qualifications.
As a Compliance Consultant, your key duties and responsibilities will involve:
* Complete file reviews and maintain accurate records, ensuring all documentation is complete and consistent as well as reviewing and validating Adviser recommendation to client
* Undertaking, monitoring and recording Anti-Money Laundering checks
* Monitoring and assessing the remedial action to ensure satisfactory
* Handling and reporting complaints
* Reviewing and signing off literature against the FCA Financial Promotions rules
* Keeping up to date with the relevant UK regulations
* Preparing and reviewing business compliance KPIs
The successful candidate will be qualified to at least a Certificate in Financial Planning level, and ideally will be studying towards Diploma in Regulated Financial Planning. As far as soft skills are concerned - analytical thinking, attention to detail, ability to work under the pressure of strict deadlines are crucial.
If you meet the experience criteria and would like to find out more, please contact Antonia Mihaylova at Search Financial Services directly on 0151 229 5525 or email@example.com. All calls and correspondence will be treated in the strictest confidence. Alternatively, I can be contacted via Linked-In.
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Search is an equal opportunities recruiter and we welcome applications from all suitably skilled or qualified applicants, regardless of their race, sex, disability, religion/beliefs, sexual orientation or age.