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Compliance Technician

An exciting and new opportunity has arisen to join this successful and growing firm of Independent Financial Advisers based in Bristol as Compliance Technician.

This is a varied role which will see you working closely with and providing support to the Compliance Manager.

Whilst not exhaustive your key responsibilities will be:-

• File checking and reporting back to the management team on findings, both for individuals and for trends.
• Complaint handling, which will involve file reviews for complaints and compilation of response letters.
• Process checking – ensuring that the company is following processes.
• Ensuring that the back office system reflects the process of the firm.
• Keeping up to date with regulatory changes and in discussion with the Compliance Manager ensuring that they are implanted within the process.
• A technical reference point for both advisers and paraplanners when they have to deal with a complex planning issue.
• A member of the investment process committee.

Please note the essential criteria for this position is follows:

• Diploma Qualified and experienced Industry professional.
• Strong experience and technical knowledge and ability gained within a firm of Independent Financial Advisers.
• Strong compliance, T&C and TCF skills.
• Experience of paraplanning would be highly beneficial.
• Good working knowledge of back-office systems, Intelliflo would be highly advantageous.
• The ability to build effective working relationships with individuals at all levels within an organisation.

This is an excellent opportunity to join a successful organisation. 

Our client is offering a great and varied position with a salary paying between £25,000 - £30,000 plus benefits.
 
Sandringham Wood Recruitment is a member of the Recruitment & Employment Confederation (REC) and is acting as an employment agency in relation to this vacancy.

Please note:  

We thank you for your application and please be rest assured that your application will be read  thoroughly;  if you do not receive a response from us within 3 working days it will be because your application, on this occasion, has not been successful. 

The only reason you will have been deemed unsuccessful will be because you either do not have the key experience OR the right level of professional qualifications required for the role.

Also, please do not hesitate to pass our details, or a particular role you’ve seen advertised, onto a colleague/friend as they may benefit from this information and please continue to view our vacancies.

20 March 2012
19 April 2012
JW/1820
Jessica Wood
Regulation
Full time, Permanent