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Compliance Reviewer

Information About This Job

Job Title: Compliance Reviewer
Contract Type: Permanent
Location: London
Contact Name: Mark Foy
Contact Email:
Job Published: over 1 year ago

Job Description

The Role

The role helps to ensure the firm and its employees are in compliance with applicable regulations. The successful candidate will review new business to ensure good client outcomes are delivered.  This position may be suitable for an existing compliance professional, an ex-adviser that wants to move into a back office function or a paraplanner looking for a new challenge.


The ideal candidate does need to have relevant experience and a positive can do attitude. In addition, you should be well organised with strong analytical skills, a creative mind set, sound judgement and business acumen, an aptitude for learning, excellent communication skills, strong work ethic, the ability to work collaboratively as a member of a diverse team, and internal motivation to work independently.


Key Responsibilities

As part of the role, you will need to:

  • Conduct file reviews on new business and feedback your findings

  • Sign off remedial work following file reviews

  • Maintain department records

  • Keep abreast of industry and technical developments

  • Review and sign off financial promotions in line with business needs

  • Provide day-to-day compliance advice and support to the business

  • Provide guidance and support on the implementation and/or enhancements of procedures and controls as necessary

  • Ongoing involvement with implementing compliance monitoring activities

  • Support the Head of Compliance and other areas as directed

  • Maintain good working relationships with members of the UK and US legal and compliance team to help ensure a culture of compliance and a congruent compliance programme throughout the organisation


Skills, Experience & Qualifications

  • 5 years of financial services experience

  • Level 4 qualification as a minimum with a pensions bias

  • Strong understanding of regulatory requirements

  • Good understanding of Compliance best practice within the wealth management sector

  • Microsoft Office Suite skills (Word, Excel, PowerPoint, Outlook)

  • Excellent attention to detail

  • Excellent verbal and written communicator with good skills in developing relationships and working with staff at all levels

  • Multilingualism an asset

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