Business Compliance Specialist - Financial Services & Investments
With exciting development plans in place for 2018, a prestigious and well-established financial services company are looking for a Business Compliance Specialist to join their team during this exciting time of growth.
Working within a busy and sociable environment, the Business Compliance Specialist will be responsible for carrying out file reviews, undertaking AML checks, preparing business compliance KPIs and completing FCA reporting.
Due to the specialist nature of this role, my client requires a candidate who has proven experience working within a compliance based role who has an excellent understanding of industry regulations and file checking. You must also hold the RO4 or the Certificate in Financial Planning or equivalent.
This is an excellent opportunity for an experienced compliance specialist to further their career within a company who can offer a competitive salary, a reputable benefits package and clear paths of progression.
The Business Compliance Manager will be responsible for:
Essential Requirements are:
- Carrying out file reviews, checking all documentation, reviewing Adviser recommendations to clients in relation to ISA and pensions
- Monitoring and recording AML checks
- Liaising closely with senior management and Advisors with regards to your findings
- Preparing and reviewing business compliance KPIs
- FCA reporting duties
- Reviewing and signing off literature against the firms services and FCA Financial Promotions rules
If you are an experienced compliance professional who is looking to progress their career within a growing and forward thinking firm, then this is the role for you! Alongside a competitive salary, my client can offer an impressive benefits package and clear paths of progression. If you have all of the above requirements for the Business Compliance Manager position, then please apply now using the link below.
The above vacancy is only one of many thatwe are handling. Marshall Moore specialises in recruiting for all types of administration vacancies within financial services, including:
- ISA Administrator
- Settlements Administrator
- UK and Foreign Payments Administrator
- Transfers Administrator
- Reconciliations Administrator
- Dividends Administrator
- Corporate Actions Administrator
- Pensions Administrator
- Unit Trust Transfers
Marshall Moore is a leading specialist accountancy and finance recruitment consultancy. If you would like a confidential discussion about your requirements, please don’t hesitate to call Marshall Moore at our Liverpool office. Alternatively submit your CV for immediate consideration and you will be contacted by one of our specialist consultants.