•Supporting the Financial Planner(s) in research and analysis to meet Client needs and objectives reducing the workload from the advisers so that they can focus on building the business and serving their existing clients.•To be the ‘Go to person’ proving after sales service•Developing and maintaining internal relationships to help maintain business flow and meet agreed targets•Ensuring that any business conducted is done in a responsible and compliant manner, meeting all legislative… Show more •Supporting the Financial Planner(s) in research and analysis to meet Client needs and objectives reducing the workload from the advisers so that they can focus on building the business and serving their existing clients.•To be the ‘Go to person’ proving after sales service•Developing and maintaining internal relationships to help maintain business flow and meet agreed targets•Ensuring that any business conducted is done in a responsible and compliant manner, meeting all legislative requirements, both internally and externally•Contributing to the smooth running of the paraplanning administrative function within the business•Draft procedures ready for new staff members to implement on appointment•Resource planning, establish areas in the business that will grow and may have a need to recruit team members – Ensure we are recruiting people with the right qualities, skills and attributes necessary to perform well within their roles.•Work with compliance outsource provider to determine gaps in process and put remedial actions into place.•Look to produce at 6 and 12 month strategy plan•Identify how best to market the business by benchmarking against competitors and doing research Show less

The daily duties of Compliance Officers including:Performing routine risk assessments to help organisations understand compliance risk, scope and significance Monitoring the organisation’s compliance with regulations and internal policies to ensure they are up to date with the relevant laws Educating employees on compliance regulations and the impact of non-compliance on the organisation Recording their findings properly and following up with management to ensure the issues are… Show more The daily duties of Compliance Officers including:Performing routine risk assessments to help organisations understand compliance risk, scope and significance Monitoring the organisation’s compliance with regulations and internal policies to ensure they are up to date with the relevant laws Educating employees on compliance regulations and the impact of non-compliance on the organisation Recording their findings properly and following up with management to ensure the issues are rectified Reviewing marketing materials, websites and presentations to ensure compliance with regulations Assisting in the gathering of information internally in response to requests by regulatory organisations Performing administrative tasks such as file creation and maintaining files of ongoing projectsCollaborating with management from other departments to ensure compliance and investigating irregularities Show less

Compliance OfficerTo drive and embed compliance integrity throughout the business to enable functional areas to evidence regulatory compliance. • Undertook compliance reviews of T&C schemes, Conflict of Interest and Competitor Conflict across GEHML. Produced written reports for senior management and presented the findings, which included recommendations for remedial actions resulting from the review.• Minimised disruption to the monitoring programme by managing action owners and… Show more Compliance OfficerTo drive and embed compliance integrity throughout the business to enable functional areas to evidence regulatory compliance. • Undertook compliance reviews of T&C schemes, Conflict of Interest and Competitor Conflict across GEHML. Produced written reports for senior management and presented the findings, which included recommendations for remedial actions resulting from the review.• Minimised disruption to the monitoring programme by managing action owners and key stakeholders.• Built and maintained effective stakeholder relationships with senior management, functional team managers and operational leads. In order to continually develop effective risk strategies and practices. • Analysed and reviewed management information in order to mitigate risks within the business.• Recommended alignment with relevant source books including ICOM, MCOB, SYSC etc• Interpreted and provided specialist advice on TCF, T&C and changes to FCA handbook ensuring this is communicated effectively to all relevant parties. • Constantly sought to develop knowledge with regulatory issues including money laundering, AML, CCA and DPA.• Research FCA handbook to provide technical answers to ad hoc questions giving guidance to the business on technical queries. Show less

My responsibilities include ensuring assigned clients adhere to the FCA principle 6 to “pay due regard to the interest of its customers and treat them fairly”. This included reviewing the firm’s advice and sales process, training, file checks, accurate and timely record keeping, complaint handling and risk assessment.• Carried out audits of Independent Financial Advisers and Mortgage firms tailored to the requirements of the firm identifying gaps and recommended solutions.• Implemented… Show more My responsibilities include ensuring assigned clients adhere to the FCA principle 6 to “pay due regard to the interest of its customers and treat them fairly”. This included reviewing the firm’s advice and sales process, training, file checks, accurate and timely record keeping, complaint handling and risk assessment.• Carried out audits of Independent Financial Advisers and Mortgage firms tailored to the requirements of the firm identifying gaps and recommended solutions.• Implemented and reviewed firm’s Treating Customer Fairly and Training & Competency plans and procedures.• Reviewed and advised on firms Compliance, Business Risk, Disaster Recovery and System and Controls procedures in accordance with the FCA Handbooks.• Keep up to date with technical and product knowledge across all FCA regulated product ranges.• Maintained knowledge of FCA Handbook, SYSC, TCF, T&C, COBS and regulatory changes Show less