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A premier regional Wealth Management Firm is seeking a Compliance Associate to enhance their team.
- Perform file and annual reviews to confirm the suitability of advice and compliance with regulatory standards and internal guidelines.- Work collaboratively across departments to nurture a culture of Best Practice, Consumer Duty, and Fair Treatment of Customers.- Assess and refine current policies and procedures to ensure positive outcomes and boost efficiency.- Ensure that financial promotions are clear, fair, accurate, and not misleading to clients and the public. This includes consistently reviewing existing communications like our website, articles, and blogs to ensure compliance in a dynamic environment.- Engage in complaint management in accordance with regulatory guidelines and standards.- Develop, review, and update policies, procedures, and regulatory documentation to maintain industry compliance.- Partner with Financial Planners and Client Managers to determine the best financial strategies that align with clients' objectives and needs.- Conduct meticulous file reviews using company systems, technology, and wrap platforms to guarantee precision, compliance, and efficiency.- Oversee data integrity, ensuring all data is entered and maintained to high standards and within agreed timelines.- Participate in pertinent projects and fulfill ad hoc tasks as needed.
Qualifications:
- Required: Chartered Insurance Institute (CII) Level 4 Diploma in Regulated Financial Planning.- Ideally: Chartered Insurance Institute CII Level 6 Advanced Diploma in Financial Planning or a comparable qualification.
