Compliance Executive - London, United Kingdom - Fram Search
Description
Hybrid working- Independent financial advice firm
- Diploma in financial planning or equivalent
The role is to assist the operation of effective systems and controls to mitigate business risk 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 from an 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.
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