Compliance & Advice Support
|Job Title:||Compliance & Advice Support|
|Contact Name:||Monika Carlton|
|Job Published:||June 07, 2017 15:54|
Our client is not looking for an another ‘box ticker' but for an individual that will take a leading role in supporting the Business remaining compliant with regulatory requirements and corporate compliance policies. You will also be involved in conducting client file reviews, ensure the quality of advice and documentation is of high standard and provide technical advise/guidance to the advisors and other team members.
If you are currently looking for a new challenge and have an experience within Financial Planning, Wealth Management or Pensions, and you are willing to continuously learn, develop and broaden your knowledge and want to work with professionals who share your values then please give me a call for a confidential chat.
What have you got to lose!
- Diploma in Financial Planning (qualified or working towards)
- A good technical knowledge across all means of financial planning.
- Excellent knowledge of UK regulatory framework.
- Current experience of working within a financial services compliance file checking role, or demonstrable expertise in this area.
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