Compliance Policy Consultant - Wealth Management

Compliance Policy Consultant - Wealth Management

Location:

Birmingham, United Kingdom (Hybrid – only 1 day per week in the office)

Client:

Willow Resourcing Limited

EU Work Permit Required:

Yes

Job Description:

Are you looking for more flexibility?

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.

You’ll be responsible for developing regulatory policies, guidelines, and processes that the Financial Advisers use to engage clients and complete the advice process. You’ll also 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.

In addition, you’ll 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.

You’ll be qualified to Diploma Level 4 as a minimum and have demonstrable Compliance experience within a wealth management environment, with a particularly strong working knowledge of investment products and their associated regulation. Strong Estate Planning experience would be advantageous.

Interested?

Click apply. Not got an up-to-date CV? Don’t worry, you can always give me (Mark) a call on 0121 274 0357 for an informal chat or email me at [emailprotected]. We’ll pick it up from there.