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Maintain and oversee an effective Wealth Planning Training and Competence Scheme including CPD and SPS for the Financial Advisors.
Ensure that Financial Advisers daily activities are monitored and that the appropriate KPI's are recorded.
Pre-approval of all suitability reports
Conduct regular file reviews
Oversight of Investment Propositions including management of the investment portfolios, fund selections, audit trails etc.
Observing Client Meetings and handling of Client Complaints.
FCA thematic queries and reports e.g. Gabriel returns
Assist the Head of Compliance with reporting for various committees and boards
Ad hoc projects as required.
The ideal candidate should have a minimum of 5 years Compliance experience including T & C knowledge and have experience of QA/File Reviews. You should also hold the CFPC or equivalent.
For further information or a confidential no obligation discussion, please feel free to call David Crook on 020 7330 6963 or send your details to him at firstname.lastname@example.org
Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role.
The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge