Consultant jobs in United Kingdom

My client is a highly regarded Financial Services organisation who are continuing to grow. due to their ongoing growth they have an opportunity for a Compliance consultant to join their team in Liverpool.

Provide an effective and professional governance, advisory & oversight service; measuring compliance with UK regulations particularly in line with the FCA Conduct of Business Sourcebook, HMRC, ICO legislation. Assisting the business, especially the adviser sales and adviser support teams by providing day-to-day support as required.

• 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, in respect of the firms discretionary managed service, ISAs, Pension, Annuity broking, Pension Transfers/Switches & Drawdown.
• Communicate any findings with both the Adviser and appropriate senior management (monitor and assess the remedial action to ensure satisfactory completion).
• Responsibility for the delivery of the Compliance Monitoring Plan (CMP): Completion of scheduled monitoring reviews in a timely manner; Identify and investigate issues and/or trends which may adversely affect the business’ ability to comply with applicable legislation and/or regulations; Produce compliance review reports for Senior Management; Follow-up activities to ensure effective remediation of issues identified from the monitoring reviews and take responsibility for the delivery of agreed corrective actions and resolution of issues where appropriate.
• Review and sign off literature and educational presentations against the firms’ services & the FCA Financial Promotion rules.
• Undertake, monitor and record anti-money laundering checks.
• Carry out peer checks.
• Assess and action all decline leads ensuring internal processes have been adequately met and ICO regulations adhered to.
• Assist with other operational duties as necessary.
• Being passionate and demonstrate behaviours in line with the Company’s ethos, vision and key principles.

• Good analytical and problem solving skills.
• Investment & pensions experience within the financial services industry.
• Good awareness of the UK regulatory environment.
• Strong written and verbal communication skills.

• Good working knowledge of Word, Excel, Outlook, etc.
• Thorough approach to work, with good attention to detail.
• A flexible and proactive approach with the ability to work under the pressure of deadlines.
• Ability to work on own initiative.

• Certificate in Financial Planning or equivalent.
• RO4 or equivalent.
• *Working towards or willing to work towards attaining the Diploma in Financial Planning or equivalent.

• Diploma in Financial Planning.
• J05 – Pension Income Options.
• Diploma in Investment Compliance or equivalent

The company offer a competitive salary and a comprehensive range of benefits and rewards