Compliance Consultant - West Midlands

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:

• Understanding of the Firm's Advice Guidance in order to maintain and develop knowledge of the firm's technical approaches

• Conducting advice audits both on a pre-submission and post-submission basis, in line with the firm's T&C Scheme

• Performing an assessment on specific case-types, which carry a high risk to the client, firm and the firm's IFA's at the second stage of pre-approval

• Delivery of informative and constructive feedback to IFA's in connection with audits and stage 2 pre-approvals conducted

• Assistance with past-business auditing in relation to FCA Thematic Reviews

• Identification of potentially unsuitable advice cases and phase 2 pre-approval declines and referral toAdvice Assurance Coordinator as necessary

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

• Involvement in investigations in order to determine whether breaches in the firm's processes have created any client detriment

• Involvement in investigations into client complaints, following the firm's standard complaints procedure and formulating client final responses, where necessary

Experience, Skills & Qualifications Required:

• Diploma in Financial Planning as a minimum qualification requirement

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

• Demonstration of knowledge and experience in personal financial planning

• Experience in an IFA environment, demonstrating quality communications of constructive feedback

• A high standard of written and numerical skills

• An ability to demonstrate strong report-writing skills

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