Compliance Consultant

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Our Liverpool based wealth management client has enjoyed sustained growth and continue to have a unique and successful business model. They now require a further compliance team member to support their advice function. Duties including the following but not restricted to the following and full job description on requestCarry out file reviews and maintain a log of checks undertaken:- Check all documentation for completeness and consistency.- Review and assess Adviser recommendations to clients for suitability, in respect of the firms discretionary managed service, ISAs, Pension, Annuity broking, Pension Transfers/Switches & Drawdown.- Communicate any findings with both the Adviser and appropriate senior management (monitor and assess the remedial action to ensure satisfactory completion)- Responsibility for the delivery of the Compliance Monitoring Plan (CMP):Candidate Requirements:-Ideally full Level 4 (If part then we can consider)- Investment & pensions experience within the financial services industry.The RewardsA negotiable basic salary together with an employee benefits package.JBRP1_UKTJ
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Location:
Old Swan
Job Type:
FullTime

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