Compliance Associate

Ferguson Dean; Wilmslow; On-site; GBP 60,000 - 80,000; Full time

Job summary

A leading Chartered Financial Planning Firm in Wilmslow is looking for a candidate to conduct thorough file reviews, collaborate with Financial Planners, and ensure regulatory compliance. The successful applicant will improve processes while maintaining data integrity and efficiency in their role. This position offers an opportunity to challenge existing practices and contribute to positive outcomes.

Qualifications

• Ability to challenge existing policies and procedures.
• Collaborative skills to work with Financial Planners and Client Managers.
• Strong attention to data integrity and compliance.

Responsibilities

• Work with Financial Planners and Client Managers to discuss financial strategies.
• Conduct thorough file reviews using company systems.
• Ensure data integrity with accurate input and maintenance.
• Participate in relevant projects and perform ad hoc tasks.

Job description

Overview

New role with a leading Chartered Financial Planning Firm.

The role will see you conducting file and annual reviews to ensure advice suitability and regulatory compliance with 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 a commitment to delivering positive outcomes while improving efficiencies.

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.