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Our client, a leading financial planning firm are looking for a Level 4 qualified Compliance Offcier/Administrator with general compliance experience and ideally some file review and financial promotions experience.Â
As Compliance Officer/Administator, you will be assisting the Head of Compliance in all aspects of the compliance regime, including
- Auditing New Business Submission files, subject to Risk Rating of the Advisers. Providing reports and ensuring any remedial work is completed within a reasonable time scale
- Providing the Advisers with pre-submission support on file content and pre-sale checking after induction to ensure they meet standards of the regulatory regime and in compliance with the firm’s policies and procedures
- Chasing of all Remedial Work for completed file audits, updating and maintaining all adviser records as required
- Checking all marketing material to ensure they are fair, clear and not misleading and requesting changes where necessary and logging approved material
- Ensuring the Firm’s Compliance Monitoring Plan is adhered to on a monthly basis
- Monthly Reports on Compliance activity to the Company Directors for the Board Meeting
- Monitoring the Compliance Email Inbox, providing information and follow-up where appropriate, or allocating to the appropriate team member for their personal attention
- Ensuring all necessary measures and paperwork have been completed to satisfy FCA requirements
Other Ad-hoc Duties
Assisting Advisers and Appointed Representatives with general support requests with queries, projects and other business activities and enquiries that require guidance from the Compliance Team.
Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately, your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.
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