Compliance Associate

Ferguson Dean; England; On-site; GBP 30,000 - 50,000; Full time

Job summary

A leading Chartered Financial Planning Firm in the UK is seeking an individual to conduct file and annual reviews, ensuring advice suitability and compliance. The role involves collaboration across all areas of the business to improve efficiencies and maintain high standards in complaint handling. The ideal candidate will proactively update policies and ensure regulatory adherence. The position is essential for delivering positive outcomes and enhancing operational effectiveness.

Responsibilities

• Work with Financial Planners and Client Managers to discuss financial strategies that meet clients' objectives.
• Conduct thorough file reviews to ensure accuracy, compliance, and efficiency.
• Ensure data integrity with timely and accurate input and maintenance.

Job description

Overview

New role with a leading Chartered Financial Planning Firm

The role will see you conducting file and annual reviews is essential to ensure advice suitability and compliance with regulatory requirements and internal policies. You will actively collaborate with all areas of the business.

The successful applicant will be able to challenge existing policies and procedures as part of commitment to delivering positive outcomes while improving efficiencies.

You will ensure complaint handling adheres to regulatory guidelines and exemplary standards. The role will see you develop, review, and update all necessary policies, procedures, and regulatory documents to maintain compliance with industry standards.

Responsibilities

• Work with Financial Planners and Client Managers to discuss financial strategies that meet clients' objectives and circumstances.
• Conduct thorough file reviews using company systems and wrap platforms to ensure accuracy, compliance, and efficiency.
• Ensure data integrity, with timely and accurate input and maintenance.
• Participate in relevant projects and perform ad hoc tasks as required.