Compliance Contractor, Wealth Management

Alexander Lloyd
London, UK
16 Aug 2019
02 Sep 2019
Contract Type
Full Time
This is an excellent opportunity to join a leading, independently owned Financial Planning business in a 'hands on' Compliance advisory, business partner-type role. This role will be required for a minimum of six months.

Key responsibilities:
  • Updating policies and procedures in place to ensure that all relevant regulatory developments have been incorporated and they are consistent with all relevant regulatory expectations.
  • Provide day-to-day assistance and advice on regulatory issues to line management and staff, ensuring an appropriate focus on good client outcomes at all times.
  • Provide appropriate, consistent answers to general queries on policies and procedures, escalating queries to the Compliance Manager as necessary.
  • Liaising with the T&C Supervisor, provide formal and informal training to line management and staff on regulatory matters, internal procedures and best practice when required.
  • Assist the Compliance Manager to maintain up-to-date departmental procedures

The Successful Candidate
  • Preferably degree educated
  • Relevant industry qualifications would be an advantage
  • Required experience in financial planning or employee benefits business
  • Good understanding of the principles of the UK regulatory system
  • Good inter-personal skills, judgement and decision-making ability, and a determined and proactive approach.

Please quote 45354 when calling Louis at Alexander Lloyd or email them at . This is only one of many vacancies we are handling. Alexander Lloyd is a specialist within Compliance & Risk recruitment. Areas of expertise include Compliance Directors, CF10/11, Risk Frameworks, Monitoring, Advisory, Policy, T&C, Quality Assurance/ File Review, AML/KYC etc across the entire financial services sector including investments, banking and insurance.

Due to the high amount of interest that we receive for each of our roles unfortunately we cannot respond to each application individually, therefore if you do not hear back from one of our consultants you have not been shortlisted for this role. Please continue to check our website for any other roles which may be of interest.

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