|Date Posted||7th November 2019|
|Salary||€Negotiable depending on experience with relocation package and benefits.|
|Industry||Financial Services, Product Provider, IFA|
|Professional Quals||Industry recognised ideally.|
|Hiring Company||Recruitment Connection Ltd|
€Negotiable depending on experience with relocation package and benefits.
My client is a successful FCA registered financial planning and tax consultancy with established operations throughout Europe and the UK. You will be responsible for the performance of the compliance monitoring programme for the company, for the reviewing of new client reports and responding to client complaints and for one-off compliance / regulatory projects.
Key responsibilities will include:-
- Implementing controls in order to prevent money laundering & assisting in the taking on of new clients and their screening process.
- Undertaking case checks , review of personalised client advisory letters prior to them being issued by the business to clients or prospective clients.
- Monitoring, recording and dealing with complaints & performing work towards any regulatory reporting – FATCA and CRS.
- Design, prepare and review any regular and ad-hoc reports and management information statistics for senior management and supporting the Head of Compliance and / or the Compliance Manager in drafting and maintaining corporate governance
You should be well educated ideally to degree level or equivalent and have experience in a similar post in compliance in financial services sector within an IFA or similar wealth advisory operation. You will be knowledgeable of pensions and investment planning and ideally have the Diploma or progressing with a qualification in compliance, regulation and / or AML and Financial Crime & Diploma in financial services, law or regulation.