Direct message the job poster from LIFT-Financial Group
Are you driven, motivated, and eager to grow both personally and professionally? We're looking for someone just like you!
Exciting Responsibilities:
No two days are the same – you'll enjoy a varied range of tasks that keep things fresh and engaging.
Team Collaboration:
Work effectively as part of a dedicated team focused on delivering outstanding outcomes for our clients.
If you're ready to take on new challenges and make a real impact, apply now!
Responsibilities
1. Monitor the compliance inbox and assign tasks to the relevant team member.
2. Financial promotions approval.
3. Conducting HMRC Sanctions checks and enhanced due diligence when required.
4. Maintaining the group training plan, highlighting areas of concern to the Compliance Manager.
5. Obtaining and recording the necessary documentation to satisfy Adviser fit & proper requirements, including certification, CPD and Statements of Professional Standing.
6. Assisting with research on risk and compliance related developments applicable to the Company.
7. Conducting regular checks against physical documentation held on site.
8. Assisting with the preparation, and delivery of, Adviser best practice meeting and Consumer Duty Steering Group presentations.
9. Maintaining the internal Compliance Registers, ensuring they are accurate and up to date.
10. Maintain and update Compliance-owned guidance, policies, procedures and training materials.
11. Ensuring regulatory renewals are actioned such as our ICO registration and Chartered status.
12. Completion of profit and loss calculations.
13. Preparation for annual compliance audits, ensuring that any remedial actions are addressed in a timely fashion.
14. Assist in the preparation of reports for senior management, Board and Committees, and external regulatory bodies as appropriate.
15. Participation in the Complaints Handling Process, ensuring all complaints are dealt with in accordance with the company’s Complaints Handling policies, FCA regulations and the requirements of the Professional Indemnity Insurers.
16. Preparation of KPIs and feedback for the Quarterly Adviser 121 meetings.
17. Completion of Consumer Duty product assessments when required.
18. Provide assistance in other compliance reviews and monitoring activities in accordance with the timetable set out in the Compliance Monitoring Programme.
19. To undertake reasonable additional duties, including project work at the request of the Compliance Manager as required in line with the changing needs of the business.
Qualifications
The ideal candidate will have some financial services knowledge gained through a recognised exam framework and be progressing towards a Diploma level qualification. LIFT can offer full support (And rewards!) as you continue your professional development journey.
Seniority level
* Entry level
Employment type
* Full-time
Job function
* Finance and Sales
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