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Maintain a strong working relationship with key stakeholders across Saunderson House and IFG (parent company), including Saunderson House Business Oversight Director, advisors, and IFG Compliance /Internal Audit
Team (Value – Collaborative People)
Work with compliance colleagues and advisors to develop efficient and effective solutions to regulatory issues
Conduct (Value – Acting Responsibly)
To provide key management information reflective of the quality of advice given by the firm which will enable management to take appropriate action to improve client outcomes
To actively promote Saunderson House values and behaviours to ensure good client outcomes and meet our conduct responsibilities
To ensure technical knowledge is up to date and shared with the team as appropriate
To ensure work produced complies with the regulatory and legal environment
Knowledge and Qualifications
Minimum 5 years Compliance experience, preferably within Wealth Management
Professionally qualified (level 6 CII or equivalent including 'Pension transfer qualifications) would be a plus
Strong / detailed knowledge of FCA Handbook, particularly COBS