logo
Featured

Junior Compliance Officer

Posted 2 May by Broster Buchanan Ltd
Be one of the first ten applicants
Salary icon £35,000 per annum
Location icon Liverpool , Merseyside

Register and upload your CV to apply with just one click

View all jobs
  • 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.

Reference: 52578114

Please note Reed.co.uk does not communicate with candidates via Whatsapp, and we will never ask you to provide your bank, passport or driving licence details during the application process. To stay safe in your job search and flexible work, we recommend visiting JobsAware, a non-profit, joint industry and law enforcement organisation working to combat labour market abuse. Visit the JobsAware website for information and free expert advice for safer work.

Report this job

Not quite what you are looking for? Try these similar searches