Job Description
Our client, an award winning financial advice firm are looking for a Compliance Officer to support the growth of the business.
The Compliance Officer will help deliver the level of protection required by pre checking higher risk products recommended by the Advisers. The role holder will be responsible for accurately assessing, Pre-Approving, and ensuring compliance for all cases, and ensure that the firm meet the FCA requirements for advice in higher risk areas.
Role Responsibilities:
* Undertake the review of investment and pension cases requiring pre-sale approval with a view to clear and prompt feedback to Partners and paraplanners.
* Undertake reviews of past business cases as part of a formal past business review, if requested.
* Maintain accurate and consistent records, enhancing them as requested, of pre-sale approval cases, and past business reviews.
* To participate in appropriate company and departmental training, competence and development initiatives.
* To continuously meet, the regulator’s Fit & Proper requirements.
* In line with the service excellence programme, they will be expected to provide exceptional client service at all times. They will be required to keep up to date with all relevant organisational training and best practice to enable this standard to be met.
Key Skill...