Lutine Bell are currently supporting an established Wealth Manager looking to appoint a Compliance Officer into their 2nd line of defence, reporting directly into the Head of Compliance.
Responsibilities:
* The role will form part of the Compliance Team but will work closely with other members on the Pre Approval Team.
* To liaise proactively with partners and paraplanners on all matters concerning pre or post sale file reviews.
* To support and coach Partners and staff to help improve the quality of the advice provided to clients.
* To produce and provide regular progress updates and MI to the Compliance Review Manager. Main 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.
* To participate in appropriate company and departmental training, competence and development initiatives.
Requirements:
* Minimum Level 4 qualified
* Proven track record working as technical support within a retail financial advisory business
* Experience preparing and reviewing new business files
* Proven track record of communicating and building rapport efficiently and effectively with advisers and managers.
* Excellent verbal and written communication skills.
Salary: up to £50,000 (plus bonus & benefits)