Business Compliance Consultant

Business Compliance Consultant

Red Recruitment is looking to recruit experienced compliance consultant with previous pensions and investments experience and a good awareness of the UK regulatory environment.

The salary is up to -52000 per annum and the successful candidate must have previous compliance experience.

Benefits and Package for a Business Compliance Consultant:

• Salary: Competitive
• Hours: Full-time
• Contract Type: Permanent
• Location: Liverpool
• Generous Holiday Allowance

Key Responsibilities of a Business Compliance Consultant:

• 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 and for compliance with internal procedures and wider legislation, in respect of the firm''s discretionary managed service, ISAs, Pension, annuity broking, pension transfers/switches & drawdown. Communicate any findings with both the Adviser and appropriate senior management
• Effectively assess and oversee the resolution of remedial action to ensure satisfactory completion
• Assist with the delivery of the Compliance Monitoring Plan (CMP)
• Complaints handling and reporting
• Review and sign off literature and educational presentations against internal requirements, relevant legislation and rules including HMRC & the FCA Financial Promotion rules
• Undertake, monitor and record anti-money laundering checks
• Carry out peer checks
• Keep up to date with relevant UK Legislation that impacts the business
• Prepare MI and KPI data
• Be passionate about and demonstrate behaviours in line with the Company''s ethos, vision and key principles
• Assist with other operational duties as necessary

Key Skills and Experience of a Business Compliance Consultant:

• Excellent communication skills at all levels, both verbal and written, including the ability to be discreet and maintain confidentiality
• Strong organisational and problem-solving skills
• Investment & pensions experience within the financial services industry
• Good awareness of the UK regulatory environment, specifically the FCA Handbook
• Proficient in the use of MS Office and the ability to adapt to and engage with multiple technology systems
• Thorough approach to work, with good attention to detail
• A flexible and proactive approach with the ability to work under the pressure of deadlines
• Approachable and self-motivated
• Embraces change with a positive and flexible attitude
• Ability to articulate solutions both internally and externally
• Proactive team player

If you are interested in this position as a Business Compliance Consultant and have the relevant experience required, please apply now!

Red Recruitment (Agency)