Our client
A Liverpool based financial advice / wealth management firm.
The Role
The Compliance Consultant role is to ensure the business is acting professionally and in accordance with regulation and internal procedures. As a Compliance Consultant, you are responsible for carrying out monitoring of compliance with internal procedures, dealing with complaints and breaches, investigating root cause, ensuring business areas update procedures to mitigate risks and liaising with clients and third parties such as the Financial Ombudsman Service (FOS). You are also responsible for Financial Conduct Authority (FCA) reporting, assessing the initial and ongoing fitness & probity of individuals who are due to carry out a regulated role in the business, as well as assisting the Compliance Manager with any other ad-hoc projects that arise, including horizon scanning.
The Ideal candidate
- Experience in the Financial Service industry.
- Experience in conducting internal monitoring or internal audit Complaints handling experience.
- Ideally in a financially regulated business) Knowledge of AML procedures and processes
The Rewards
- A competitive salary depending on experience.
- Employee benefits package
- Modern working environment in Liverpool with a range of benefits
- A progressive financial services organisation encouraging career development.