Financial Adviser Compliance / File Checker

Our client are a wealth management business who have enjoyed a period of sustained growth and continue to have a unique and successful business model. This growth has included an increase in financial advice, and they now require a further compliance / new business support individual

The role is Liverpool based 9 till 5.

The individual will support their advice function with duties including the following.

• Carry 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):
• Completion of scheduled monitoring reviews in a timely manner.
• Identify and investigate issues and/or trends which may adversely affect the businesses’ ability to comply with applicable legislation and/or regulations.
• Produce compliance review reports for Senior Management; Follow-up activities to ensure effective remediation of issues identified from the monitoring reviews and take responsibility for the delivery of agreed corrective actions and resolution of issues where appropriate.
• Review and sign off literature and educational presentations against the firms’ services & the FCA Financial Promotion rules.
• Undertake, monitor, and record anti-money laundering checks.

Candidate Requirements:

Key experience includes business file checking from a bank, life company or IFA firm

Investment & pensions experience within the financial services industry.

Candidates with transferrable skills will include Paraplanners or Financial Advisers

The Rewards

A negotiable basic salary together with an employee benefits package.