Compliance Technical Executive - Weybridge
Due to our client's continued expansion, they are looking to hire a new Compliance Technical Executive in their Weybridge office. You will be part of the Compliance Team and work closely with the Pre-Approval Team, liaising with partners and paraplanners on all matters regarding pre- or post-sale file reviews.
This role offers a hybrid working arrangement based in Weybridge (2 days in the office).
Main Responsibilities:
1. Review investment and pension cases requiring pre-sale approval, providing clear and prompt feedback to Partners and paraplanners.
2. Review past business cases as part of formal past business reviews, if requested.
3. Maintain accurate records of pre-sale approval cases and past business reviews, updating them as needed.
4. Participate in relevant training, competence, and development initiatives.
5. Ensure compliance with the regulator’s Fit & Proper requirements.
6. Provide exceptional client service in line with the company's service excellence programme, staying updated with organisational training and best practices.
Key Skills and Personal Attributes:
1. A positive, friendly, service-oriented attitude with a proactive approach, understanding the importance of advisers and their staff in providing financial advice.
2. Articulate communicator.
3. Honesty, integrity, and ability to maintain confidentiality.
4. Hardworking and responsive, committed to delivering high-quality support.
5. Attention to detail and high standards of work.
6. Excellent organisational and prioritisation skills.
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