Compliance Advice & Policy Consultant

Willow Resourcing; Birmingham; Hybrid; GBP 30,000 - 60,000; Full time

Job summary

An innovative wealth management firm is seeking a compliance professional who thrives in a flexible working environment. This exciting role allows you to work predominantly from home, with the option to condense your hours into a four-day week. You will be responsible for developing regulatory policies and guidelines that empower Financial Advisers to engage clients effectively. Additionally, you will collaborate with developers to ensure the systems are robust and compliant, while also performing annual reviews of product providers to ensure they deliver fair value for clients. If you are passionate about compliance and looking for a role that offers flexibility and a strong working culture, this opportunity is perfect for you.

Qualifications

• Minimum Diploma Level 4 qualification required.
• Experience in compliance within wealth management is essential.

Responsibilities

• Develop regulatory policies for Financial Advisers.
• Ensure systems used by Advisers support advice policy effectively.
• Conduct annual reviews of product providers for compliance.

Skills

Compliance experience

Knowledge of investment products

Regulatory policies development

Education

Diploma Level 4

Job description

Flexibility to work predominantly from home or around other commitments?

Or perhaps you’re looking to work condensed hours?

Flexibility is what this opportunity is all about. You’ll spend 80% of your time working from home, with only 4 days per month in the office. You can go in once a week, or you can group your monthly office days into one block, or anything in between.

It’s a full-time role but several members of the team work condensed hours if that’s what you’d prefer, working 5 days condensed into 4. The choice is yours.

Responsibilities:

1. Develop regulatory policies, guidelines, and processes that the Financial Advisers use to engage clients and complete the advice process.
2. Work with internal developers and external suppliers to ensure the systems the Advisers use are robust and effective to support advice policy and deliver the advice process efficiently and compliantly.
3. Perform annual reviews of product providers in line with FCA PROD regulations to ensure the providers are delivering good customer outcomes and fair value for money for clients.

Qualifications:

1. Qualified to Diploma Level 4 as a minimum.
2. Demonstrable Compliance experience within a wealth management environment.
3. Strong working knowledge of investment products and their associated regulation.

Interested?

Click apply.

Company: Wealth Management firm with strong working culture

Location: Birmingham

Workplace: Hybrid Working

Reference: 415206

To apply for this position, please click on ‘Apply Now’ button or email your CV together with details of your current remuneration to [e-mail] quoting reference 415206.