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Compliance Assistant

Lime People Search & Select Ltd
Closing date
28 Jan 2022

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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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