Our prestige wealth management client has enjoyed sustained growth and continue to have a unique and successful business model. They now require a further compliance team member to support their advice function. Duties including the following:-
- 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):
Candidate Requirements:
Ideally full Level 4 (If part then we can consider)
Investment & pensions experience within the financial services industry.
The Rewards
A negotiable basic salary together with an employee benefits package.
Compliance Consultant in Liverpool employer: Resource Matters Ltd Careers
Join a forward-thinking company that prioritises employee growth and development within a supportive and positive work culture. Based in Cheshire, this role offers the unique opportunity to influence health and safety standards across diverse projects while enjoying a blend of office and site-based work. With a commitment to compliance and continuous improvement, you'll be part of a team that values your expertise and fosters a proactive safety culture.
Contact Details:
Resource Matters Ltd Careers Recruitment Team
