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    Compliance Officer - Liverpool, United Kingdom - Broster Buchanan

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    Job Description

    • 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):
    • Completion of scheduled monitoring reviews in a timely manner;
    • Identify and investigate issues and/or trends which may adversely affect the businesses ability to comply with applicable legislation and/or regulations;
    • Produce compliance review reports for Senior Management;
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