Compliance & Risk Analyst Financial Advisory

Oval Recruit Ltd ,
Horsham, West Sussex
More Details
Salary: From £35,000 to £40,000 per annum

Overview

Compliance & Risk Analyst – Financial Advisory Horsham - £40,000 Package A leading UK Financial Services Group who have continued to grow and develop on the back of industry recognition for excellence and innovation are looking to strengthen their Compliance function with the recruitment of a Compliance & Risk Analyst. Working in a entrepreneurial environment which is at the forefront of technology solutions to the Wealth Management market who will help provide regulatory and compliance support to IFA Practices. Specifics of the role will include – · Provide IFA firms with guidance and support on file reviews. Ben able to show a detailed knowledge of the FCA Handbook and T&C. · Maintain excellent relationships with IFA firms, show a willingness to listen, offer training & solutions and manage with a proactive approach. · Self-manage file review activities, reporting requirements and compliance project work. · Provide compliance support to IFA firms, answer queries, regulatory questions and ensure you provide correct advice. · Assist internal Consultants with Compliance requirements for marketing, bulletins or project activities. · Take a direct but common-sense approach to risk based problems and compliance support. · Provide advice to IFA’s who are failing standards or in need of business risk support. · Take a consultancy approach to IFA’s requiring guidance on selling practices, product knowledge, industry changes, report templates and training. This is a key relationship role and requires someone who is technical proficient enough to perform in the role holding a minimum of Level 4 diploma. The role also involves a good degree of self-management, common sense and business acumen. For more in depth information please contact Richard Garbett. This job was originally posted as www.totaljobs.com/job/89763938

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