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Compliance Advisor

Date posted: 18 Nov, 2014
Ref: Ref:ca220114
Industry: Compliance
Salary: £45000 - £55000 + Benefits
Location: Birmingham
Contract Type: Permanent
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Further Information

My client is a Blue Chip Financial Services Provider based in Birmingham City Centre. Due to the continued success of the company and subsequent expansion of Corporate Governance they are currently recruiting for Compliance Advisors.

This role will focus on providing day-to-day Compliance support to the Asset Management division.

Key Responsibilities:

  • Provide general day-to-day Compliance advisory support such as advising on conflicts, gifts and entertainments, personal trading and other conduct issues
  • Review and assessment of client suitability forms
  • Review specific marketing material and client communications
  • Targeted due diligence on third party intermediaries selling products
  • Assist in the completion Compliance Monitoring Programmes
  • Complaints handling assistance

You will be a Compliance Professional with strong knowledge and experience within the Financial Services sector. You will have a strong academic background and exceptional stakeholder skills. You will be an ambitious individual looking to use this as platform to progress within the company.


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