Our client, a successful compliance consultancy firm operating in the wealth management space, is looking for a Senior Compliance Consultant to join their growing team. You will work closely with financial advisory firms and discretionary investment management firms to ensure all things are compliant.
Key Responsibilities:
* Undertake day-to-day client management including supportive consultancy, firm audits & file checks.
* Be capable of dealing with in-depth and highly technical compliance queries.
* Have a comprehensive knowledge of FCA Handbook.
* Be required to read and summarise important industry papers.
* Be able to draft internal technical papers and contribute to manual/toolkit development.
* Have existing knowledge/experience of Discretionary Fund Management & Retail Financial Advisers.
* Operate at client offices or from home.
Experience Required:
* Be qualified in the Diploma in Financial Planning (or equivalent).
* Advanced CII Qualification(s) desirable.
* Possess excellent communication and consultancy skills.
Seniority Level
Mid-Senior level
Employment Type
Full-time
Job Function
Other
Industries
Financial Services and Investment Management
#J-18808-Ljbffr