Compliance Monitoring l Financial Services

Alexander Mae Ltd
12 Nov 2019
15 Nov 2019
Contract Type
Full Time
Competitive Salary + Performance Bonus + Superb Benefits - Amazing package

Due to growth my client is looking to recruit ideally "Diploma" qualified "Financial Services Professionals" who are interested in a securing a permanent role in Compliance / Sales Quality Review.....

The Company
A superb opportunity exists to join a leading wealth management specialist based in North Bristol or Gloucester. As a Compliance Officer, you'll play an important part in the outstanding level of service that the IFA's deliver to their clients. This is a key role and for that reason you need to be a dedicated, knowledgeable financial services professional who has achieved "Diploma" status.

The Job
In this role you will be responsible for compliance auditing a full range of wealth management business submitted by the Group. You will be required to contribute to the identification and research of trends which will lead to training needs or the amendment of products, provide feedback to the remote Management teams and the IFA's on required changes to cases, and provide knowledgeable technical support service to the business in relation to the correct documentation for all case types. Day to day you will be file checking a range of business submitted by their IFA's, providing feedback to the business in regards to Risk and the changes required to cases to ensure compliance.

The Person
Ideally you will hold the "Diploma in Financial Planning" or will have a maximum of 2 exams left to complete! Previous experience as a Compliance Officer, Compliance Checker, Para Planner, Sales Support Administrator would be ideal, however, they will also happily consider individuals who work in sales as an IFA, Financial Planning Manager or Broker Consultant and wish to move across to compliance. Ideally you will have worked across a full product portfolio typical of a wealth management environment.

My client is looking for individuals who have a "can do" attitude, and a strong work ethic. You will enjoy working with others and want to be of service to clients, and each other and must have excellent organisational skills with a strong administration background where attention to detail is key.

The Benefits
This is a superb opportunity to work for an established employer who treat their staff with respect and give credit where credit is due, actively working hard to recognise individual performance.

Performance related Bonus, Non-contributory Pension 10% of base salary rising to 12.5% then 15% following length of service, annual performance bonus, 25 days holiday rising to 30 days, Life cover equivalent to six times base salary, Critical Illness for individual and immediate family, Medical Insurance BUPA, Additional benefits include; SAYE Share Options, Salary & Pension Contribution payable in the first 12 months of illness, Eye-Tests, Refreshments, Childcare Vouchers, Season Ticket Loans.

The Hours: Monday to Friday 9am - 5pm
The Location - Bristol or Gloucestershire