- 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
- Responsibility for the delivery of the Compliance Monitoring Plan (CMP)
- Completion of scheduled monitoring reviews in a timely manner
- Produce compliance review reports for Senior Management
- Follow-up activities to ensure effective remediation of issues identified from the monitoring reviews and take responsibility for the delivery of agreed corrective actions and resolution of issues where appropriate
- Review and sign off literature and educational presentations against the firms services & the FCA Financial Promotion rules
- A salary of up to £40,000 (depending on experience)
- Annual bonus
- 25 days' Annual Leave
- Pension (6% employer/3% employee)
- Study Support
- Financial Services compliance background preferred
- Role suitable for Compliance professionals, Paraplanners and Advisors
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Work From Home Consultant - Liverpool, United Kingdom - Vision-FS Recruitment
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Description
Financial Services | Compliance ConsultantUp to£40,000 (depending on experience), annual bonus, 25 days' annual leave, pension (6% employer/3% employee), PMI, study support, income protection
Our client is a leading North West-based financial wellbeing and retirement specialist, working with hundreds of businesses across the private and public sector by offering their staff financial education, guidance and regulated financial advice.
As the company continues to grow, a requirement has arisen for a Compliance Consultant to join its 12-strong Compliance team based at the firm's head offices in Liverpool.
Reporting to the Head of Compliance, the Compliance Consultant's key duties will include:Vision-FS Recruitment is a leading Financial Services Recruitment business covering the UK FS market. Vision-FS Recruitment specialise within the Financial Planning | Wealth Management and Employee Benefits Recruitment.