We are currently assisting one of our Wealth and Investments clients in their search for a Compliance Executive to support its advisory and operational teams with day-to-day compliance oversight and guidance.
This role is suited to someone with a solid grounding in investments and pensions who enjoys reviewing advice, spotting risk early, and helping advisers and stakeholders get things right before problems escalate. You’ll be involved in monitoring activity, complaints oversight, financial promotions review and wider regulatory support, working across the business to maintain strong regulatory standards.
Job Duties:
*Providing an effective and professional governance, advisory & oversight service
*Measuring compliance with UK regulations particularly in line with the FCA Conduct of Business Sourcebook, HMRC, and ICO legislation
*Check all documentation for completeness and consistency
*Identify and investigate issues and/or trends which may adversely affect the business’ ability to comply with applicable legislation and/or regulations
*Undertake, monitor and record anti-money laundering checks
*Produce reports for Senior Management
Candidate Criteria:
*MUST have an Level 4 Financial Diploma
*Financial Services/Investments or Pensions/Audit background background
*Detail-focused, organised and confident communicating with stakeholders
*Comfortable working to deadlines and across multiple systems
This is a great opportunity to join a rapidly growing firm in a role that promises career progression. Apply now!