Compliance Officer – File Review (Wealth Management)
Are you a Paraplanner looking to make a move into Compliance?
This is a great opportunity to do exactly that. This employer has a fantastic reputation, not only as the recognised market leader in their field, but also as a great place to work.
Increased demand for their services means they’re expanding their Compliance Monitoring team. They’re looking for someone who can provide a high-quality file review service for their clients, providing feedback on files reviewed and any compliance issues raised. Your paraplanning experience would be highly valued.
You’ll be responsible for delivering a client file review service in line with service level agreements and responding to client queries in a timely, clear, and concise manner. You’ll provide verbal feedback to clients regarding their file reviews and report any specific issues or concerns. You’ll also generate reports and summaries of thematic reviews/file assessments.
You’ll be qualified to Level 4 Diploma level and have experience as a Paraplanner, with an excellent working knowledge of the FCA regulations affecting the wealth management arena. Strong communication skills, both written and verbal, are essential.
Interested?
Click apply. Not got an up-to-date CV? Don’t worry, you can always give me (Mark) a call on 0121 274 0357 for an informal chat or email me at mark.wilson@willowresourcing.co.uk. We’ll pick it up from there.
Location: Greater Manchester
Workplace: Hybrid Working
Reference: 415183b
To apply for this position, please click on the ‘Apply Now’ button or email your CV together with details of your current remuneration to info@willowresourcing.co.uk quoting reference 415183b.
Willow Resourcing, 2nd Floor, 3 Brindley Place, Birmingham, B1 2JB.
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