Business Compliance Specialist

Professional Recruitment Ltd
Bath, Somerset
18 Jun 2017
18 Jul 2017
Contract Type
Full Time

A brilliant opportunity has arisen to work with an award winning Financial Services Wealth Planning IFA Practice. This unique and successful organisation is looking to recruit a new skilled Business Compliance Specialist, preferably with Level 4 Diploma in Financial Planning with experience of working within a Compliance Regulatory role within an IFA.

This will be a very influential role and you will be responsible for a range of tasks such as:

  • Accurately assess the suitability of advice given by Advisers against the standards set by the Company.
  • Assess the clarity, accuracy and adequacy of Adviser documentation and record keeping against the standards set by the Company.
  • Maintain knowledge of the Company's compliance procedures and relevant Regulatory Rules.
  • Maintain the technical knowledge necessary to assess the suitability of advice provided by advisers across the range of products and services offered by the Company.
  • Identify and report potential cases of financial crime.
  • Effectively communicate with and deal with queries raised by Supervisors.

To be considered for this role you must be able to demonstrate that you have knowledge of FCA Objectives, Principles and COBs Rules and have a good understanding of Personal Financial Planning - taxation and products and Corporate Financial Planning - taxation and products. It is essential that you have excellent communication skills including writing, presenting and influencing.You must be able to also demonstrate, experience in a compliance or advisory role within an FCA-regulated retail environment. Recognised professional qualifications equivalent to FPC are mandatory.