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Junior Compliance Officer
Junior Compliance Officer
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Junior Compliance Officer
Posted 21 June by
Broster Buchanan Ltd
- A role with great exposure and development opportunities.
- A chance to work for a growing and ambitious organisation.
- Excellent base salary and company benefits.
- Carry out file reviews and maintain a log of checks undertaken.
- Check all documentation for completeness and consistency.
- 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.(monitor and assess the remedial action to ensure satisfactory completion)
- Responsibility for the delivery of the Compliance Monitoring Plan (CMP).
- Completion of scheduled monitoring reviews in a timely manner.
- Identify and investigate issues and/or trends which may adversely affect the businesses ability to comply with applicable legislation and/or regulations.
- Produce compliance review reports for Senior Management.
Reference: 52924041
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