Compliance Executive - London, United Kingdom - Fram Search

Fram Search

Verified Company

London, United Kingdom

1 week ago

Posted by:

Tom O´Connor

beBee Recruiter

Description

Hybrid working
Independent financial advice firm
Diploma in financial planning or equivalent

Fram are working with a London based independent financial advice firm. Due to growth within the business, they are seeking an additional member for their compliance team.

The role is to assist the operation of effective systems and controls to mitigate businessrisk and ensure compliance with the regulatory system.

You will report to the head of compliance and help maintain a collegiate relationship with both advisers and support staff.

Our client is looking for someone with a good basis of compliance knowledge froman IFA or DFM environment, with understanding of relevant FCA rules and guidance.

Some of the responsibilities:

Assisting head of compliance to implement and review strategic business plans for the compliance function.
Assist with compliance induction for new staff
Provide guidance for advisors, paraplanning and administrations staff
Maintain accurate up to date compliance records
Feedback to advisors and support staff on new business and ongoing review file checks to ensure any remedial action required is completed.