£35K/yr
Liverpool, England
Permanent, Variable

Junior Compliance Officer

Posted by Broster Buchanan Ltd.

  • A role with great exposure and development opportunities.
  • A chance to work for a growing and ambitious organisation.
  • Excellent base salary and company benefits.
  • Carry out file reviews and maintain a log of checks undertaken.
  • Check all documentation for completeness and consistency.
  • Review and assess Adviser recommendations to clients for suitability, in respect of the firms discretionary managed service, ISAs, Pension, Annuity broking, Pension Transfers/Switches & Drawdown.
  • Communicate any findings with both the Adviser and appropriate senior management.(monitor and assess the remedial action to ensure satisfactory completion)
  • Responsibility for the delivery of the Compliance Monitoring Plan (CMP).
  • Completion of scheduled monitoring reviews in a timely manner.
  • Identify and investigate issues and/or trends which may adversely affect the businesses ability to comply with applicable legislation and/or regulations.
  • Produce compliance review reports for Senior Management.
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