Our Client is well known throughout Financial Services and IFA Industry. They are now looking to meet with an Experienced Compliance Consultant.
Purpose of the role:
To effectively deliver excellent feedback and guidance to individual advisers through individual file reviews.
* Review client files, including complex cases, to a high standard and prepare detailed and coherent reports and present appropriate remedial action necessary to comply with FCA Rules & TCF Principles and in doing so provide compliance services to best market standards.
* Actively manage the file review relationship with advisers to ensure excellent customer service.
Experience, Skills & Qualifications Required:
* Detailed and wide ranging knowledge of the FCA Rules and Principles with a sound technical knowledge
* Good background knowledge of FCA Conduct of Business and advice process requirements.
* Good knowledge of financial services markets, compliance processes and structures.
* Diploma in Financial Planning
* AF3 or Equivalent (Must have)
* G60, RO8 or any other Pension Qualification (Ideal)
* Certificate in Financial Planning (or equivalent)
* Recent experience in a similar role.
There is an Excellent Salary & Benefits Package Available!