Are you an experienced field-based Compliance professional with a background in Financial Services? Have you worked in an IFA environment within file quality standards, risk assessment and supporting advisers? Are you looking for a challenging contract role with a well-known firm in the City? Then look no further!
In this initial 3-6 month contract role some of your duties will include:
- Undertaking suitability reviews of advice provided to PSFM’s private clients
- Ensure that the management of risk is controlled by the full use of compliance
- Undertake monitoring of the suitability of advice provided by Planners in accordance with the Compliance Monitoring Programme
- Pass on any Planner and Paraplanner development needs identified as part of the monitoring process to the T&C Officer.
- Assist in investigating any significant issues of concern and report as appropriate.
- Investigate complaints and Errors and Omissions in a timely manner, in accordance with the FCA guidance
- Proven experience of field-based Compliance within a financial services environment.
- Diploma Qualified
- Pensions qualifications requirement – R04; J04; J05; AF3 (being replaced by AF7) at least one of these) – R08 would be a bonus.
- Investment – R02 would be a bonus
- Knowledge and experience of monitoring safeguarded benefit advice is essential.