MB Fitgerald are currently working with the prestigious Financial Planning arm of a top 10 Chartered Accountancy practice, who currently have an immediate vacancy in their Compliance Department in Birmingham.
This role has come about due to continued growth and a recent major acquisition. The role is a Compliance Assistant position so naturally, if a candidate with a similar background would be available, they would definitely be suited. However, the company are willing to offer training to a candidate with other experience from within a firm of Financial Planners (Paraplanning or Technical Administration, or even an ex-IFA). They would like the candidate to be Diploma Qualified or working towards this. Holding the AF3 exam would also be beneficial.
The role is to assist the Compliance Director/Manager in the implementation and monitoring of regulatory and internal compliance procedures. The aim of the team is to minimise the risk to the company from it's activities.
The company will offer a competitive basic salary as well as plenty of opportunities to progress within the business and study professional qualifications. They also have an industry leading benefits package.
- Assist the Compliance Manager in processing of complaints.
- Collate and maintain all regulatory logs.
- Assist the Compliance Manager in production of regulatory returns.
- Assist the Compliance Manager with the checking of client files to ensure compliance with internal / regulatory standards.
- To undertake the pre-approval of high risk reports
- To be deputy Pension Specialist
- To approve financial promotions.
- To keep compliance procedures, forms and manuals up to date.
- To help staff with day to day compliance queries
- Record and maintain T&C records in conjunction with the T&D Partner / Compliance Director
- To file and / or store records and file in accordance with internal standards so they can be accessed and / or retrieved in an efficient manner.