We are currently working with an expanding Financial Advisor who are currently looking for a T&C Associate to assist with ensuring Compliance with internal policies and procedures.
Working within a team of three and reporting directly into the Head of Group Risk you shall provide Training & Competency monitoring Financial Planners and appointed representatives across the group. Additionally you shall be involved in file reviews and prepare, monitor and assist with the delivery of compliance training and testing programmes for staff across the business. Additionally there may be travel required to other offices in the UK.
Candidates will have held a similar position within the Financial Services industry and be able to demonstrate knowledge of Training & Competence regime and the implementation of file reviews. Additionally you will have a good understanding of FCA principles and rules and be able to deliver accurate and relevant information to a number of individuals across a business. It is essential to be Diploma Level 4 qualified to be considered for this role.
This role offers not only a competitive salary and benefits package but the opportunity to be an intrinsic member of a growing organisation. Additionally there is also the opportunity to manage junior members of the team in the future.
Please quote LBW1611-54 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 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.