Compliance Executive - London, United Kingdom - eFinancialCareers

eFinancialCareers

Verified Company

London, United Kingdom

3 weeks ago

Posted by:

Tom O´Connor

beBee Recruiter

Description

COMPLIANCE EXECUTIVE- IFA/DFM FILE REVIEW EXPERIENCE REQUIRED

Ref: 3922D
**£45K - £50K + good benefits & bonus

Hybrid (West End)**Our client, a particularly interesting IFA & Fund Manager, seeks a new executive to assist in the provision of high quality compliance governance within a small in-house team.

Reporting to the Head of Compliance, you will play an important role in ensuringcompliance with relevant legislation and procedures. Duties will include;

Conducting pre and postsale case file reviews and giving constructive feedback to advisers and support staff in relation to these cases
Responding to remedial actions completed by advisers and support staff as a result of the file reviews
Checking remedial tasks have been completed
Providing guidance to advisers, support staff and compliance administrator
Maintaining accurate, up to date and detailed compliance records and registers
Responding to technical queries from advisers as required
Liaising with external Compliance Consultancy Helpdesk as required for any compliance queries which require external support or checks
Opportunity to be involved in adhoc compliance projects

You should have or be willing to study for Level 4 CII Diploma in Regulated Financial Planning or equivalent relevant qualification) and/or CeMAP or equivalent (R01/CF6) and at least 2 years IFA/DFMexperience of internal file reviews of new business andannual client reviews.

Great opportunity to move from File Review into a broader role including proper Compliance Advisory & Monitoring work (full training provided).NB based in very pleasant offices in the heart of the West End and whilst current needsare 4 days pw in office this should move to 3d pw office (2 WFH) in the medium term.

Company benefits including contribution to any gym/health club, training costs covered, 3 hours a month for in house study, 25 days holiday pro rata (increases by a day for every full year worked), PMI & DIS, 5% pension contributed by the company and a STL.