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    Junior Compliance Officer

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      Junior Compliance Officer

      Oliver Cheshire

      Recruiting this role:

      Oliver Cheshire

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      Location

      Merseyside

      Salary

      £35,000

      Job Status

      Permanent / Full Time

      • 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.