Compliance Executive - London, United Kingdom - eFinancialCareers

eFinancialCareers

Verified Company

London, United Kingdom

3 weeks ago

Posted by:

Tom O´Connor

beBee Recruiter

Description

COMPLIANCE EXECUTIVE- IFA/DFM COMPLIANCE & FILE REVIEW EXP WITH L4 OR CEMAP QUALS REQUIRED

Ref: 3901D
**£50K - £60K + good benefits & bonus

West End**Our client, a leading IFA & Fund Manager, seeks a new executive to assist in the provision of high quality compliance governance within a small inhouse team. Reporting to the Head of Compliance, you will play an important role in ensuring compliance withrelevant legislation and procedures. Duties will include;
Assisting the Head of Compliance to implement and review strategic business plans for the Compliance function in order to contribute to the overall compliant operations of the firm
Providing guidance to advisers, support staff and compliance administrator
Providing feedback to advisers and support teams on new business and ongoing review file checks and ensuring any remedial action required is completed
Providing support in monitoring effective systems and controls to counter money laundering
Maintaining accurate, up to date and detailed compliance records and registers
Checking and maintaining records on financial promotions
Liaising with external consultants for any compliance queries which require external support

You should have Level 4 CII Diploma in Regulated Financial Planning 0or equivalent relevant qualification) and/or CeMAP or equivalent (R01/CF6) and at least 3 years IFA/DFM Compliance experience, including experience of internal file reviews of new businessand annual client reviews.

NB based in pleasant offices in the heart of the West End and whilst current needs are 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.