Type of Position: Compliance Technical Executive - Weybridge
Pay: £45k - £50k
Compliance Technical Executive - Weybridge
Due to our clients continued expansion, they are looking to take on a new Compliance Technical Executive in their Weybridge office. You will form part of the Compliance Team and work closely with the Pre-Approval Team, liaising with partner and paraplanners on all matters regarding pre or post sale file reviews.
This will be a hybrid working role based in Weybridge (2 days in office).
Main Responsibilities:
1. Undertake the review of investment and pension cases requiring pre-sale approval with a view to clear and prompt feedback to Partners and paraplanners.
2. Undertake reviews of past business cases as part of a formal past business review, if requested.
3. Maintain accurate and consistent records, enhancing them as requested, of pre-sale approval cases, and past business reviews.
4. Participate in appropriate company and departmental training, competence and development initiatives.
5. Continuously meet the regulator’s Fit & Proper requirements.
6. Provide exceptional client service at all times in line with the Company's service excellence programme.
Key skills and personal attributes:
1. A positive, friendly service-orientated person with a “can do” attitude who is aware of the important role played by advisers and their staff in providing financial advice.
2. An articulate communicator.
3. Honesty, integrity and ability to maintain confidentiality.
4. Hard working and responsive to the need to deliver a high quality support service.
5. Attention to detail and high standards of work.
6. Excellent organisation and prioritisation skills.
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