Compliance Associate

New role with a leading Chartered Financial Planning Firm

The role will see you conducting file and annual reviews is essential to ensure advice suitability and compliance with regulatory requirements and internal policies. You will actively collaborate with all areas of the business.

The successful applicant will be able to challenge existing policies and procedures as part of commitment to delivering positive outcomes while improving efficiencies.

You will ensure complaint handling adheres to regulatory guidelines and exemplary standards. The role will see you develop, review, and update all necessary policies, procedures, and regulatory documents to maintain compliance with industry standards.

Key Responsibilities:

– Work with Financial Planners and Client Managers to discuss financial strategies that meet clients\’ objectives and circumstances.

– Conduct thorough file reviews using company systems and wrap platforms to ensure accuracy, compliance, and efficiency.

– Ensure data integrity, with timely and accurate input and maintenance.

– Participate in relevant projects and perform ad hoc tasks as required.