Associate Compliance Director
A brilliant opportunity has arisen for a senior compliance professional to join a well-established wealth management group in London, who pride themselves on maintaining long-lasting relationships with their business partners and clients by providing them with a professional, friendly and personalised service.
You will be working within a friendly environment and provided with full support and encouragement to achieve your career goals.
- Maintain the Wealth Planning T&C Scheme including Continuing Professional Development (CPD) and Statement of Professional Standing (SPS).
- Assist with Supervision of Financial Advisers including annual fit and proper declaration
- Maintaining Key Performance Indicator records for all advisers
- Observing client meetings (quality assurance)
- Identifying training and development needs for advisers
- Organising appropriate training –delivered internally.
- Pre-approval of high-risk suitability reports
- Regular file reviews
- Assessment of Initial and Ongoing Competence
- Compliance background – ideally ceMAP qualified
- Experience in a compliance role within a financial services firm
- Excellent regulatory knowledge
Apply today to be considered for this opportunity. If suitable, one of our specialist consultants will be in contact to discuss the opportunity with you in detail prior to submitting your CV to the client. In this discussion we will aim to identify your specific skills and motivations, and where appropriate recommend other relevant opportunities to you that match your requirements.
Additionally, refer a friend or colleague to us and receive £200 if we assist them in securing a new career.
Synonyms: Senior Compliance Officer, Compliance Manager, Compliance Officer