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Resource Matters Ltd
Liverpool
Our client A Liverpool based financial advice / wealth management firm. The Role The Compliance Consultant role is to ensure the business is acting professionally and in accordance with regulation and internal procedures. As a Compliance Consultant, you are responsible for carrying out monitoring of compliance with internal procedures, dealing wit
Job Source: Resource Matters LtdVision-FS Recruitment
Liverpool
Our client is a leading financial wellbeing and retirement specialist, working with hundreds of businesses across the private and public sector by offering their staff financial education, guidance and regulated financial advice. As the company continues to grow, a requirement has arisen for an office-based Compliance Consultant to join its rapidl
Job Source: Vision-FS RecruitmentVision-FS Recruitment
Liverpool
Our client is a leading financial wellbeing and retirement specialist, working with hundreds of businesses across the private and public sector by offering their staff financial education, guidance and regulated financial advice. As the company continues to grow, a requirement has arisen for an office-based Compliance Consultant to join its rapidl
Job Source: Vision-FS RecruitmentVision-FS Recruitment
Liverpool
Compliance Consultant Location: Liverpool/office-based position with flexible hours Salary/Package : Up to £40,000 (depending on experience), annual bonus, 25 days’ annual leave, pension (6% employer/3% employee), PMI, study support, income protection YOUR NEW COMPANY Our client is a leading North West-based financial wellbeing and retirement spec
Job Source: Vision-FS RecruitmentResource Matters Ltd
Liverpool
Our client is a wealth management business who have enjoyed a period of sustained growth and continue to have a unique and successful business model. This growth has included an increase in Financial Adviser population, and they now require a further member to join the business compliance team The individual will support their advice function with
Job Source: Resource Matters LtdKO2 Embedded Recruitment Solutions LTD
Chester
Position: Compliance Engineer Location: Chester - Hybrid Working from Home 50/50 Salary: Up to 55,000 + Benefits A new position has been created for an experienced compliance engineer to join our clients growing engineering team in the Chester area. Our client design and manufacture a range of electro mechanical devices and are looking for a com
Job Source: KO2 Embedded Recruitment Solutions LTDBroster Buchanan
liverpool, england, United Kingdom
Carry out file reviews and maintain a log of checks undertaken: Check all documentation for completeness and consistency; Review and assess Adviser recommendations to clients for suitability, in respect of the firms discretionary managed service, ISAs, Pension, Annuity broking, Pension Transfers/Switches & Drawdown. Communicate any findings with bo
Job Source: Broster BuchananKO2 Embedded Recruitment Solutions LTD
Chester
Position: Compliance Engineer Do you have the skills to fill this role Read the complete details below, and make your application today. Location: Chester - Hybrid Working from Home 50/50 Salary: Up to 55,000 + Benefits A new position has been created for an experienced compliance engineer to join our clients growing engineering team in the Che
Job Source: KO2 Embedded Recruitment Solutions LTDliverpool, england, United Kingdom
Financial Services | Compliance Consultant
Location: Liverpool
Salary/Package: Up to £40,000 (depending on experience), annual bonus, 25 days’ annual leave, pension (6% employer/3% employee), PMI, study support, income protection
YOUR NEW COMPANY
Our client is a leading North West-based financial wellbeing and retirement specialist, working with hundreds of businesses across the private and public sector by offering their staff financial education, guidance and regulated financial advice. As the company continues to grow, a requirement has arisen for a Compliance Consultant to join its 12-strong Compliance team based at the firm's head offices in Liverpool.
THE ROLE
Reporting to the Head of Compliance, the Compliance Consultant's key duties will include:
Carry out file reviews and maintain a log of checks undertaken: Check all documentation for completeness and consistency
Review and assess Adviser recommendations to clients for suitability, in respect of the firms discretionary managed service, ISAs, Pension, Annuity broking, Pension Transfers/Switches & Drawdown
Communicate any findings with both the Adviser and appropriate senior management
Responsibility for the delivery of the Compliance Monitoring Plan (CMP)
Completion of scheduled monitoring reviews in a timely manner
Identify and investigate issues and/or trends which may adversely affect the businesses ability to comply with applicable legislation and/or regulations
Produce compliance review reports for Senior Management
Follow-up activities to ensure effective remediation of issues identified from the monitoring reviews and take responsibility for the delivery of agreed corrective actions and resolution of issues where appropriate
Review and sign off literature and educational presentations against the firms services & the FCA Financial Promotion rules
Undertake, monitor and record anti-money laundering checks
Assess and action all decline leads ensuring internal processes have been adequately met and ICO regulations adhered to
WHAT YOU'LL RECEIVE:
The successful candidate for the Compliance Consultant vacancy will receive:
A salary of up to £40,000 (depending on experience)
Annual bonus
25 days’ Annual Leave
Pension (6% employer/3% employee)
PMI
Study Support
Income Protection
WHAT YOU'LL NEED TO SUCCEED
Suitable candidates interested in the Compliance Consultant vacancy will have the following criteria:
Financial Services compliance background preferred
Level 4 qualified OR FPC qualified + RO4
Role suitable for Compliance professionals, Paraplanners and Advisors
NEXT STEPS
If you are happy to apply for this position, please click on the apply button and remember to attach a copy of your CV. One of our consultants will be in touch to discuss the opportunity and answer any questions you may have around the role. Where appropriate we can also recommend other relevant opportunities to you that match your requirements.
Synonyms: Compliance, T&C, Quality Assurance, IFA, Financial Planning, Retirement Specialist, Pensions, Retirement Planning, Level 4, FCA, Paraplanner, Financial Advisor
Vision-FS Recruitment is a leading Financial Services Recruitment business covering the UK FS market. Vision-FS Recruitment specialise within the Financial Planning | Wealth Management and Employee Benefits Recruitment.
Email Alert for Compliance Consultant jobs in liverpool, england, United Kingdom
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