Compliance Executive - London, United Kingdom - eFinancialCareers
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.
- 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.
- Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role. _
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