Business Compliance Consultant
Red Recruitment is looking to recruit experienced compliance consultant with previous pensions and investments experience and a good awareness of the UK regulatory environment.
The salary is up to £52000 per annum and the successful candidate must have previous compliance experience.
Benefits and Package for a Business Compliance Consultant:
Salary: Competitive
Hours: Full-time
Contract Type: Permanent
Location: Liverpool
Generous Holiday AllowanceKey Responsibilities of a Business Compliance Consultant:
Carry out file reviews and maintain a log of checks undertaken:
Check all documentation for completeness and consistency
Review and assess Adviser recommendations to clients for suitability and for compliance with internal procedures and wider legislation, in respect of the firm's discretionary managed service, ISAs, Pension, annuity broking, pension transfers/switches & drawdown. Communicate any findings with both the Adviser and appropriate senior management
Effectively assess and oversee the resolution of remedial action to ensure satisfactory completion
Assist with the delivery of the Compliance Monitoring Plan (CMP)
Complaints handling and reporting
Review and sign off literature and educational presentations against internal requirements, relevant legislation and rules including HMRC & the FCA Financial Promotion rules
Undertake, monitor and record anti-money laundering checks
Carry out peer checks
Keep up to date with relevant UK Legislation that impacts the business
Prepare MI and KPI data
Be passionate about and demonstrate behaviours in line with the Company's ethos, vision and key principles
Assist with other operational duties as necessaryKey Skills and Experience of a Business Compliance Consultant:
Excellent communication skills at all levels, both verbal and written, including the ability to be discreet and maintain confidentiality
Strong organisational and problem-solving skills
Investment & pensions experience within the financial services industry
Good awareness of the UK regulatory environment, specifically the FCA Handbook
Proficient in the use of MS Office and the ability to adapt to and engage with multiple technology systems
Thorough approach to work, with good attention to detail
A flexible and proactive approach with the ability to work under the pressure of deadlines
Approachable and self-motivated
Embraces change with a positive and flexible attitude
Ability to articulate solutions both internally and externally
Proactive team playerIf you are interested in this position as a Business Compliance Consultant and have the relevant experience required, please apply now!
Red Recruitment (Agency)