We are working with a leading Wealth Management firm, looking to add a Compliance Consultant to the firm.
You will play a pivotal role within the organisation and ensure that the business meets regulatory standards, reporting to the Business Quality Manager.
The firm are offering a strong base salary and benefits, alongside hybrid working.
Responsibilities:
- The Compliance Monitoring Officer will ensure that all key tasks as detailed in the Compliance Monitoring Plan are completed diligently, impartially and in a timely fashion.
- Work with policy owners so as to ensure that all policies and procedures are not only up to date but in keeping with regulatory expectations.
- You will be required to provide advice, guidance and support to the wider business together with the preparation of relevant management information for departmental and Board reporting purposes.
- You will support both the Compliance Director and Manager.
- Undertaking or assisting in other Compliance Reviews and Monitoring activities in accordance with the timetable set out in the Compliance Monitoring Programme.
To be considered:
- Experience in a similar compliance role gained within the Financial Planning industry.
- Level 4 Diploma qualified
- A good understanding of relevant legislation