Senior Compliance Consultant - Worcestershire

09 Oct 2017
06 Nov 2017
Job Type
Contract Type
Our Client is well known and operates within the Financial Services Industry. They are an integrated Independent Financial Advisory ('IFA') and Discretionary Wealth Management firm. They are now looking to meet with an Experienced Compliance Professional.

Responsibilities Of The Role:

* Participation in the Advice Guidance Executive Committee, offering constructive input into technical discussions to assist in the formulation of the Group's Advice Guidance strategy

* Occasional inclusion in project work, assisting in the development of advice and regulatory processes across the business

* Participation in adding value through direct discussion on complex financial planning cases with IFAs

* Assisting with the higher-level post-audit of advice provided by advisers, where necessary

* Offering clear and considered decisions on cases which carry a high risk to the client, firm and the firm's IFAs

* Dealing with day-to-day advice and higher level regulatory queries from other departments, undertaking research, where necessary, in order to provide informed responses

* Financial promotions - analysing proposed advertising content to assess technical and regulatory suitability

* Designing and delivering understandable and concise Financial Planning Report templates for use across the range of products and service provided, both personal and corporate, in order to deliver understandable and suitable financial outcomes to our clients

* Completing regulatory industry update summaries for dissemination to the Co-ordinator

* Assisting with new recruit inductions and training, as and when required

Skills, Qualifications & Experience Required:

* Diploma in Financial Planning as a minimum qualification requirement

* Willingness to take further qualifications, as relevant to your role

* Demonstration of excellent knowledge and interest in the concepts and requirements of personal and corporate financial planning

* Experience in the support of IFA's and other advisers and in particular in the preparation and delivery of research and suitability reports

* Ability and willingness to make thorough and well-informed decisions in relation to advice cases that present a high risk to the business

There is an Excellent Salary and Benefits Package Available with this Role