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Compliance Associate - Wealth Management

Oval Recruit
Closing date
14 May 2021

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Job Details

Compliance Associate - Wealth Management

London - £28-35K

An award-winning London based Wealth Management Company are looking to recruit into their expanding Compliance team. The company have an excellent reputation and offer structured training & development programmes designed to build your knowledge & skills, assist you with professional qualifications and forward your career and internal opportunities.

This role will form part of the Compliance team who provide oversight to all advice and transactions ensuring controls are in place to ensure compliance with regulatory systems.

Specifics of the role include -
  • Looking after Training & Competence Administration ensuring Advisers records, certificates and development file is up to date.
  • Assist with annual Advisor reviews ensuring the correct checks, training and online portal documentation is up to date and completed as required.
  • Support file reviews, undertake file reviews and prepare reports / management information for review.
  • File check mortgage cases and help develop processes and checks as this area develops.
  • Help manage external systems - Money Alive, Smartsearch, Threesixity, CPD and Experian
  • Help keep compliance records up to date, including the breaches register, financial promotions and risk register.
  • Manage 360 logins and organise training.

To apply for the role you will need to have gained Compliance experience working in a Wealth Management / IFA / Financial Planning firm. You will also need to display excellent communication skills, a strong work ethic and desire to do well and have an all-round positive and enthusiastic approach.

This is an excellent opportunity to join a company who will invest in your future and offer you genuine career progression.

For more information, please contact Richard Garbett.
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