Our client is a leading financial wellbeing and retirement specialist, working with hundreds of businesses across the private and public sector by offering their staff financial education, guidance and regulated financial advice. As the company continues to grow, a requirement has arisen for an office-based Compliance Consultant to join its rapidly-expanding Compliance team.
Based at the firm's brand new offices in Liverpool city centre, the Compliance Consultant's role will be to provide an effective and professional governance, advisory & oversight service - measuring compliance with UK regulations particularly in line with the FCA Conduct of Business Sourcebook, HMRC, ICO legislation. The position will also involve providing day-to-day support to the adviser sales and adviser support teams. The Compliance Consultant's key duties will include:
1. Carry out file reviews and maintain a log of checks undertaken
2. Check all documentation for completeness and consistency
3. 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
4. Communicate any findings with both the Adviser and appropriate senior management (monitor and assess the remedial action to ensure satisfactory completion)
5. Responsibility for the delivery of the Compliance Monitoring Plan
6. Identify and investigate issues ...