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Compliance Technical £35,000 - £45,000


£35000 - £45000 per annum

Compliance Technical £35,000 - £45,000


An established Advisory and Financial Planning Network with an award winning reputation. The business has created a new position to strengthen and further underline it's focus on providing compliant as well as innovative financial planning services to its list of established and growing clients.

Within the Compliance Technical role you will be primarily responsible for monitoring and informing the business on all regulatory and industry developments including European legislation and FCA/FOS notices. This will include compiling reports for evaluation by the Compliance Director who you will report into as well as gap analysis, internal reviews of process sufficiency and propose courses of action. You will be involve d in regulatory projects and ensure new policies and procedures are appropriately documented. Working with senior management you respond to Network and regulatory issues. Working with the Compliance Director you will respond to requests from and provide notifications to the Regulator. As a reference point for compliance technical queries you will support other areas of the Compliance Department as well as the wider Appointed Representative network.

In order to succeed in this role you will already be an established compliance professional with an IFA background. You will naturally have detailed knowledge of the FCA rulebook, an ability to evaluate thematic outputs, interpret legal and regulatory requirements and asses their impact and requirements to be implemented within the advisory and financial planning sector. Having a wide product knowledge including occupational pensions, investments, protection, mortgages and some of the more specialist products such as equity release and long term care will bring significant advantages to this role.

This an established with a very solid reputation for delivering a multiple array of solutions to its clients with a very forward thinking attitude to harnessing technology, it's utilisation has brought recognition and success to the business. You will benefit from working within a technology focused business in a very calm yet focused and highly professional working environment. The varied role will also provide challenge and personal development opportunity

Please quote CDP1510-103 when calling Alexander Lloyd ON 01293 572900 and ask for our Compliance division. This is only one of many vacancies we are handling. Alexander Lloyd is a specialist within Financial Services recruitment. Areas of expertise include employee benefits, compliance, legal, pensions, group risk, paraplanners, sales support, T&C etc. 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 for any other roles which may be of interest.

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