Compliance Professional

Reed Insurance
28000.00 GBP Annual
25 Jul 2017
22 Aug 2017
Contract Type
Full Time
A fast growing IFA practice that has multiple offices across Hampshire, Surrey and London is seeking a Compliance Professional to work with the Head of Compliance and the Compliance team in the smooth running of the business regulatory requirements. This role will be based in Hampshire but easily accessible from the M27 & A3, with free parking on site for drivers.

For this role there will be many aspects within the compliance process, however the main areas will be:
File Checking
Looking at the suitability of the Advice and Sales procedures for assessing suitability of the advice given to the clients.
Conduct a review of KYC and Suitability Letter/ Report for completeness and accuracy to ensure that these documents evidence that the advice is suitable and appropriate for the client. If this is not the case, to liaise with the paraplanner or adviser in a professional, courteous and efficient manner to ensure that the appropriate remedial action is taken by them.
Post Sales Approval
Post sales checks
Liaise with Adviser/ Paraplanner on passed cases or areas that need attention.
Point of contact for ad-hoc compliance queries
Monitor outside developments in the wider financial services sector and compliance industry.

Our client is quite open minded in regards to the background of financial experience that the successor could have, as they will look at candidates who may have been a Financial Adviser previously or someone who has worked in Para planning role, or even a strong UFA Sales Support person who has taken relevant financial exams and looking for a career in Compliance.

We must be clear that you need to have either Full Diploma ( Level 4 ) or Relevant Compliance qualifications that are Financial based in Wealth Planning and Part Diploma, we could possibly look at someone who is a couple of exams away but have a clear background in the IFA practice environment.

Please can you email me your cv or apply on line

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