Exciting Compliance Job Opportunity - Financial Services

Prestige Recruitment Group
Liverpool, UK
18 Aug 2019
01 Sep 2019
Contract Type
Full Time
Exciting Compliance Job Opportunity - Financial Services - Liverpool, Merseyside

A rapidly expanding financial services company based in the heart of Liverpool City Centre are currently looking to recruit an experienced Compliance Consultant. You will provide an effective and professional advice quality service by measuring compliance with UK regulations.

Responsibilities will include:
  • File reviews and maintaining a log of checks undertaken
  • Assisting the business and adviser support teams
  • Check all documentation for completeness and consistency
  • Review and validate Adviser recommendations to clients
  • Undertake, monitor and record anti-money laundering checks
  • Communicate any findings with both the Adviser and appropriate senior management
  • Complaints handling and reporting

Required Experience:
  • Diploma in Financial Planning or working towards
  • Ideally passed the J05 qualification but not essential
  • Investment & Pensions experience
  • Good awareness of the UK regulatory environment

Job type: Full-time

Salary: Competitive

Please submit your CV or contact Philip Gordon on /

Zoot Recruit has now rebranded to Prestige Recruitment Group who are specialist Financial Services and Insurance recruiter based in Liverpool, but we cover vacancies all over the North West & Wales. Our current team boasts over 60 year's specialist recruitment experience between us.

Please visit our website www.prestigerecruitmentgroup.com or follow us on twitter @PrestigeRGroup

We receive so many applications that in some instances we are unable to offer individual feedback. If we have not contacted you within five working days unfortunately your application will not be progressed any further for this vacancy. However, if you want to call us for a chat about any other vacancies or some advice and guidance, please do as we are always happy to help.

PLEASE NOTE: Unfortunately due to the volume of applications being received we can only respond to those offering the relevant experience as outlined in the advertisement. If you have not heard from us within 48 hours, then you may presume that your application has been unsuccessful.

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