My client is a successful Investment Management & Financial Planning firm based in Harrogate, providing sound financial advice to both businesses and individuals across the UK.
We are urgently seeking an experienced Compliance Executive who will assist the Compliance Officer with all aspects of the Group’s compliance and risk management processes.
Specifically, you will:
Work alongside the Compliance Officer to provide any assistance or information as applicable.
Execute and maintain compliance monitoring for the financial planning subsidiary.
Pro-actively identify and report any regulatory risks and issues to the Compliance Officer.
Compile ongoing Management Information highlighting any areas of concern to the Compliance Officer and providing a monthly update on compliance issues.
Carry out ad hoc file reviews to ensure policies and procedures are being adhered to.
Assist the Compliance Officer with resolving any regulatory issues that may arise.
Draft new and review existing policies and procedures for approval by the Compliance Officer.
Assist with the collation of information for regulatory returns.
Ensure familiarity and compliance with the Company’s value statement and policy with regard to TCF (Treating Customers Fairly).
Ensure KYC (Know Your Client) and TCF policies and procedures are adhered to.
Ensure familiarity and compliance with company policy on Client Data Security.
Ideally, you will have experience working within Compliance in a Financial Planning or Investment Management firm, with strong knowledge of Compliance procedures relating to KYC, TCF, and File Reviewing within Investments & Pensions, with 3+ years of experience and ideally Level 4 Diploma qualified. Any other Compliance qualifications you may have will be to your advantage.
A great salary and benefits package is offered with this role. Contact to discuss further in detail.
VACANCY DETAILS
Location: Harrogate CLOSING DATE
May 30 APPLY NOW!
If you would like to apply for this vacancy by uploading your CV to Lime, please use the form below. Vacancy Application We would love to hear from you! Please fill out this form and we will get in touch with you shortly. Your Name*
Your Email*
Date of Birth*
Where do you live*
Application Statement* Please include why you would like to be considered for this Apprenticeship
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Location: Harrogate CLOSING DATE
May 30 APPLY NOW!
If you would like to apply for this vacancy by uploading your CV to Lime, please use the form below. Vacancy Application We would love to hear from you! Please fill out this form and we will get in touch with you shortly. Your Name*
Your Email*
Date of Birth*
Where do you live*
Application Statement* Please include why you would like to be considered for this Apprenticeship
#J-18808-Ljbffr
