A market leading and rapidly expanding financial services organisation is currently looking to recruit an experienced Business Compliance Consultant. Based in the heart of Liverpool's Commercial District, you will provide an effective and professional advice quality service by measuring compliance with UK regulations. The successful applicant will assist the business, especially the adviser sales and support teams by providing daily support as required, carrying out file reviews and undertaking various checks to ensure complete business wide compliance.
Responsibilities will include:
- Carry out file reviews and maintain a log of checks undertaken
- Check all documentation for completeness and consistency
- Review and validate Adviser recommendations to clients
- Undertake, monitor and record anti-money laundering checks
- Communicate any findings with both the Adviser and appropriate senior management
- Complaints handling and reporting
- Keep up to date with relevant UK regulations & feedback any impact to the business
- Prepare and review business compliance Key Performance Indicators
For you to be considered for this fantastic opportunity, you will already have previous investment and pensions experience within the financial services industry. You will have a strong awareness of the UK regulatory environment and will possess a certificate in Financial Planning or equivalent.
It is also essential that candidates possess the RO4 qualification or equivalent and either be working towards the Diploma in Financial Planning or equivalent or be willing to work towards this.
This fantastic role comes with a generous benefits package including a competitive salary and a genuine and friendly workplace that supports career progression with continuous development and mentoring.
Howarth Morris is a leading Financial, Human Resources & Business Support Recruitment Consultancy. Our Financial Selection division is dedicated to the career management of Part Qualified & Qualified Professionals across ACA, ACCA, CIMA, AAT, ICM, CIPP and CIPD and we are committed to providing our clients with the best candidates for their business and our candidates with the best opportunities for their career. Visit our website for more information on our unique profile and market leading service and call or email today to hear more about this and other exciting opportunities in the region.