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Compliance Assistant

Lime People Search & Select Ltd
Closing date
17 Oct 2021

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Contract Type
Full Time
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My client is an Investment Management & Independent Financial Advisory firm, specialising in Wealth Management, Pensions, Investments and Retirement planning, to both individuals and businesses.

Specific responsibilities of the role will include:

* Checking cases submitted for suitability reports.

* Checking all client files prior to advice being given to the client to make sure that all relevant documents are present

* Carry out spot checks of client files at the point when applications are submitted to providers to make sure that the application is correct and correct procedures have been followed.

* Carry out spot checks on benefits requests and annual reviews

* Identify and highlight any training needs identified as a result of quality checking files

* Regular and ad hoc quality and compliance monitoring

* Regular and ad hoc training modules for new and existing staff

We are looking for the follwing attributes for the role:

* Have around 2-3 years experience working in a similar Compliance role, or a role which involves Compliance related activities.

* Solid knowledge of Pensions and Investments

* Level 4 Diploma in Financial Planning (or close to completing)

* Excellent attention to detail

* Ability to communicate effectively with staff at all levels
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