Our client, a leading financial planning firm are looking for a Level 4 qualified Compliance Officer/Administrator with general compliance experience and ideally some file review and financial promotions experience.
As Compliance Officer, you will be assisting the Head of Compliance in all aspects of the compliance regime, including:
Auditing New Business Submission files, subject to Risk Rating of the Advisers. Providing reports and ensuring any remedial work is completed within a reasonable time scale
Providing the Advisers with pre-submission support on file content and pre-sale checking after induction to ensure they meet standards of the regulatory regime and in compliance with the firm’s policies and procedures
Chasing of all Remedial Work for completed file audits, updating and maintaining all adviser records as required
Checking all marketing material&nb...