Compliance Consultant

Compliance Consultant

Up to £70,000 plus benefits

Do you have a passion for all things compliance?

Do you want to work for a boutique firm where your ideas are valued and can make a real impact to the business?

Do you want to work with a fun, dynamic team that puts the client at the heart of everything they do?

If the answer is YES, then this could be the role for you !

You will be responsible for managing risk, compliance, governance, regulations and monitoring behaviours and practices within the firm.

Responsibilities include:

• Day to day delivery of the compliance monitoring programme
• Monitor adherence of Compliance regarding TCF, T&C and Financial Crime procedures of the firm at all times
• Complete internal pre-sale file checks for the advisers within the firm. Signing off on all aspects of advice to determine suitability of the advice given.
• Supporting the implementation of the company’s compliance strategy and infrastructure
• Supporting with regulatory issues affecting the business and assist the business with management of compliance risks
• Assist with firm’s adherence to FCA complaints handling rules and the maintenance of accurate records, ensuring the firm’s complaints register is kept up-to-date
• Ensure knowledge of the necessary regulatory requirements are kept up to date.

Experience required:

• A good understanding of how wealth management firms operate
• Experience of working in a compliance role
• A good understanding of Pensions and Investments
• Progress towards CII or ICA qualifications would be advantageous

To find out more about this opportunity please contact Paula Thornbury

Thornbury Recruitment is a recruitment agency that specialises in the wealth management sector. Thornbury Recruitment operates as an Employment Agency in providing permanent job seeking services.