Business Quality Adviser

Compliance Analyst - South East England

Ref: 90Tuesday 29 June 2021

£30,000 - £40,000

We are seeking a Business Quality Adviser to join the Compliance Team at one of the Leading IFA firms in the South of England.

We are looking to speak with people who are working within an IFA environment with previous relevant compliance experience, ideally as a file reviewer, supervisor or in a compliance monitoring role. We will also consider candidates from a paraplanning or Advisor background who want to make a career change.

The role is 3 days in the office and 2 days working from home.

You will be level 4 diploma qualified or actively working towards this

You will be looking to forge a long-term career in Compliance and be motivated to build positive relationships with Advisers and colleagues and deliver good outcomes for clients.

The successful candidate will be an ambassador of the Compliance Function and ensure that the business meets its regulatory requirements in relation to the standards of advice and record keeping of business written by the Advisers of the Harwood Wealth Management Group. With strong communication skills

To be considered:

Demonstrate good attention to detail, and an interest in researching requirements and promoting effective solutions in line with legislative requirements.

Ability to work closely with colleagues to ensure the best possible outcomes for clients.

Qualifications and Experience

The requisite technical knowledge and qualification Level 4 or working towards.

An understanding and knowledge of relevant FCA rules and guidance including Code of Conduct (COCON), Training & Competence, Business Standards COBS/ICOBS/MCOB

Good understanding of other relevant legislation, including that related to financial crime and Data Security.