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Compliance Executive

  • Ref: EHX11562
  • Industry: Financial Services
  • Categories: Compliance & Risk
  • Location:
    Liverpool
  • Salary:
    Competitive
  • Type: Permanent

About the Role

A unique opportunity has become available for a Compliance Executive to join an innovative and highly regarded financial services company on a permanent basis. Located in Liverpool city centre, this market leading company specialise in providing financial advice to both individuals and corporations across the UK and hold an excellent reputation in their field.

The Compliance Executive will be responsible for ensuring compliance with regulations in line with the FCA. Alongside a competitive salary, my client can offer an outstanding benefits package and excellent opportunities for career development and progression!

Key responsibilities for the Compliance Executive:

  • Carry out file reviews
  • Review and validate Adviser recommendations to clients, in respect of the firms discretionary managed service, tax wrappers such as ISA, Pension, Annuity broking, Pension Transfers & Drawdown
  • Perform AML checks
  • Communicate any findings with both the Adviser and appropriate senior management
  • Monitor and assess the remedial action to ensure satisfactory
  • Complaints handling and reporting
  • Keep up to date with relevant UK regulations & feedback any impact to the business
  • Prepare and review business compliance Key Performance Indicators
  • Carry out peer checks
  • Assess and action all decline leads ensuring internal processes have been adequately met
  • FCA Reporting

Essential Requirements are:

  • You ­must have a solid background from the financial services industry in a similar role
  • Certificate in Financial Planning (or equivalent)
  • An excellent understanding of pensions and investments
  • Good analytical and problem solving skills
  • Awareness of the regulatory requirements
  • Thorough approach to work, with good attention to detail
  • A flexible and proactive approach with the ability to work under the pressure of deadlines
  • Ability to work on own initiative where required

This is a rare and exciting opportunity for an experienced compliance professional to join a highly reputable financial services firm during a period of extensive growth. If you have all of the above requirements for the Compliance Executive position, then please apply now using the link below.

The above vacancy is only one of many thatwe are handling. Marshall Moore specialises in recruiting for all types of administration vacancies within financial services, including:

  • ISA Administrator
  • Settlements Administrator
  • UK and Foreign Payments Administrator
  • Transfers Administrator
  • Reconciliations Administrator
  • Dividends Administrator
  • Corporate Actions Administrator
  • Pensions Administrator
  • Unit Trust Transfers

Marshall Moore is a leading specialist accountancy and finance recruitment consultancy. If you would like a confidential discussion about your requirements, please don’t hesitate to call Marshall Moore at our Liverpool office. Alternatively submit your CV for immediate consideration and you will be contacted by one of our specialist consultants

Work Hours

Full Time
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