Business Compliance Consultant

Position: Business Compliance Consultant

Location: Liverpool

Minimum Requirements:

• Compliance experience essential.
• Level 3 qualified & RO4 qualified (ideally candidates with be studying towards Level 4 or hold Level 4).
• Position would suit an Adviser or Paraplanner with transferable skills.

Salary/Package:

Up to £45,000 (depending on experience) + Bonus + 25 days' Annual Leave + Pension (6% employer/3% employee) + PMI + Study Support + Income Protection + Career Progression.

YOUR NEW COMPANY:

Our client is a very successful, UK-wide Retirement and Financial Education Group with headquarters based in Liverpool. A leading financial wellbeing and retirement specialist, the company is dedicated to helping people in the workplace improve their financial futures.

THE ROLE:

Due to an increase in business, the firm is looking to increase headcount within its Compliance team in Liverpool. Reporting to the Compliance Manager, the Business Compliance Consultant role's main purpose is to assist the adviser sales and adviser support teams by providing day-to-day compliance support as required. The Business Compliance Consultant role's key duties will include:

• Carrying out file reviews and maintaining a log of checks undertaken: Checking all documentation for completeness and consistency.
• Reviewing and assessing Adviser recommendations to clients for suitability, in respect of the firms discretionary managed service, ISAs, Pension, Annuity broking, Pension Transfers/Switches & Drawdown.
• Communicating 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.
• Producing compliance review reports for Senior Management.
• Following-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.
• Reviewing and signing off literature and educational presentations against the firms' services & the FCA Financial Promotion rules.
• Undertaking, monitoring, and recording anti-money laundering checks. Carrying out peer checks.
• Assessing and actioning all decline leads ensuring internal processes have been adequately met and ICO regulations adhered to.

REQUIREMENTS:

Candidates interested in the Business Compliance Consultant vacancy will have the following:

• Compliance experience.
• Level 3 qualified & RO4 qualified (ideally candidates with be studying towards Level 4 or hold Level 4).
• Position would suit an Adviser or Paraplanner with transferable skills.

REMUNERATION / PACKAGE:

• Up to £45,000 (depending on experience)
• Bonus
• 25 days' Annual Leave
• Pension (6% employer/3% employee)
• PMI
• Study Support
• Income Protection
• Career Progression.

Next steps:

If you are happy to apply for this position, please click on the Apply button and attach an updated copy of your CV.