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Due to continued success in delivering bespoke Wealth Management Solutions to a range of HNW clients, this innovative and expanding firm is seeking to recruit an accomplished Training & Competence professional to join their team
Based in modern and well equipped offices, your role will be to work closely with the Head of Compliance to ensure that all regulatory and compliance requirements are met and exceeded across their Financial Planning operations. This is a multi-faceted role which will fully utilise your skills and expertise. The main focus of the role will be the oversight of the T&C function via the monitoring, review and analysis of the advice given by the Wealth Management operation, ensuring that the correct advice has been given in all cases. You will be responsible for undertaking compliance monitoring reviews, file reviews, suitability checks, producing reports and communicating and implementing the necessary actions. You will also be responsible for assessing and investigating any complaints.
You will manage and maintain regulatory requirements including Authorisations, Data Protection. KYC, TCF etc as well as reviewing and developing processes and procedures for client onboarding and management. You will monitor and assess risks across the business and report findings to senior management as appropriate.
Applications are invited from skilled Compliance professionals who can demonstrate in depth knowledge of Wealth Management. Experience of dealing with the full range of T&C requirements is essential. You will have extensive regulatory knowledge and understanding and be able to communicate effectively at all levels with first class written and verbal English. You must be able to manage a wide variety of assignments and be able to work independently. It is important that you have a pragmatic and commercial approach whilst maintaining the regulatory integrity of your role.
This is an excellent opportunity to join a progressive and ambitious firm where your endeavours are recognised and rewarded.
Training & Competence, Compliance, Monitoring, Wealth Management, IFA, Investments
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