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 request
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):
Candidate Requirements:
-Ideally full Level 4 (If part then we can consider)
- Investment & pensions experience within the financial services industry.
The Rewards
A negotiable basic salary together with an employee benefits package.
JBRP1_UKTJ