- Working in the main Compliance Team but more closely with the Regulatory Risk Manager and the Senior Compliance Administrator.
- Initially reporting directly to the Head of Compliance
- To grow their exposure to compliance with a view to taking on more responsibility as opportunities arise.
- Breach investigation as well as recording and reporting.
- Providing general compliance guidance to Partners and staff
- New Partner authorisation. Ensuring that new applicants meet the requirements and standards for Foster Denovo. Preparing the electronic file for review by the Head of Compliance.
- Ensuring the SMCR records are created and issued for new Partners.
- Monitoring and responding to the Compliance 'Info' email box.
- Provide updates to the Finance Team of any complaints and internal incidents including final redress.
- Assist with providing required information to the Finance Team as part of external audit. Completion of external due diligence requests
- Attention to detail and high standards of work are paramount for this role.
- 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.
- An articulate communicator.
- Honesty, integrity and ability to maintain confidentiality.
- Hard working and responsive to the need to deliver a high-quality support service.
- Prepared to challenge when required but in a positive and developmental way.
- Place the client at the center of everything they do
- 25 days holiday (increasing by an additional day per annum up to 30 days)
- Foster Denovo will match your personal pension contribution up to a maximum of 7.5%
- Life assurance of up to 4 x your salary;
- Income protection of 75% of your basic salary in the event of long term sickness
- Employees can use our financial advisers within the company for any financial advice or knowledge
- Interest free season tickets loans, eye care and childcare vouchers.
- Shopping discounts benefits portal (discounts on holiday, gym and high street retailers)
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Compliance Executive - Weybridge, United Kingdom - Foster Denovo
Description
About us:
Foster Denovo currently boast over 120 Financial Advisers supported by around 250 employees across eight Foster Denovo offices throughout the UK. We have the scale and resource to provide exceptional advice and service to our clients, advisers and employees.
Our stakeholder community is an invisible bond that gives Foster Denovo its solid foundations. It also means that our people care about our reputation and brand. And as such, we aim to delight every client we come into contact with.
When you join the Foster Denovo family, you benefit from our enviable reputation and years of industry experience. In everything we do, we're driven by a firm set of core values, and our friendly, stakeholder culture has been praised by employees, clients and partners alike.
Foster Denovo are also proud to hold the gold investors in people accreditation which shows a clear commitment to the people who make us an employee of choice..
Purpose of the job:
To help to deliver Foster Denovo's Client Services Proposition by providing a high-quality compliance and technical support to clients, Partners and staff. This will enable our Partners to focus on the client relationship as well as developing relationships with new clients.
Job Summary:
Key skills and personal attributes:
What we offer you:
Foster Denovo has an open, mutually supportive, knowledge-sharing culture. It's a culture that has created the space to think differently for the benefit of our clients.
Our benefits package includes:
