An award-winning and highly reputable IFA network based in West Sussex are seeking an experienced Compliance Analyst to join their team. You will have experienced working within compliance in either an IFA/wealth manager/pensions or investments company and will be studying for the CII Diploma in Financial Planning (and have achieved at least FPC/Level 3 with commitment to progressing to Level 4). You will maintain comprehensive file monitoring across the network and undertake quality of advice reviews.
Key Activities & Responsibilities:
* Maintain a systematic, comprehensive scheme of file monitoring across the Network, in accordance with regulatory requirements * Undertake a quality of advice reviews across all areas of the business and all AR firms, maintaining accurate records of trends and communicating them to the team within desired timescales * Undertake enhanced monitoring, risk assessment tasks and focused business reviews as per the needs of the business and/or instructions of the management team * Assess and review suspense account and new business reports for analysis of trends
Please quote (43307) when calling Alexander Lloyd. This is only one of many vacancies we are handling. Alexander Lloyd is a specialist within Financial Services recruitment. Areas of expertise include Compliance Directors, CF10/11, Risk Frameworks, Monitoring, Advisory, Policy, T&C, Quality Assurance/ File Review, AML/KYC etc across the entire financial services sector including investments, banking and insurance. We predominately focus on London, Surrey, Sussex and Kent, although we have also been highly successfully in offering national solutions. Due to the high amount of interest that we receive for each of our roles unfortunately we cannot respond to each application individually, therefore if you do not hear back from one of our consultants you have not been shortlisted for this role. Please continue to check our website www.alexanderlloyd.co.uk for any other roles which may be of interest.