Compliance & Audit Officer - Wiltshire
We are working with a client that is looking to recruit someone who can work in a Compliance and Audit Officer role.
This role is to be based in Wiltshire and is a full time permanent role.
The role is working with the Para-planners and Advisers to check and audit files of current and past clients files.
Due to the strict FCA guidelines and company standard this is a very important part of the business. The client is insistent on maintaining an exceptional high professional standard at all times.
The client is looking for an individual who has a worked in a financial services capacity before in either of the following areas;
The duties will involve the following:
File reviews Pre & Post Sales
Work well with other departments and update them with any new changes in industry
Point of contact for any compliance queries
Review marketing material and financial products available to the market.
Ensure that all file cases are complete and compliant
Communicate all areas of improvement and conduct training where necessary.
What you need:
For this role you will need a background in working in the Financial Services sector. You will need to be able to demonstrate a good understanding of the FCA rules and regs, along with a good product knowledge with all Pensions - including DB Pensions.
Full Diploma or working towards the Diploma
Good attention to detail
Excellent communication skills
Be able to challenge and influence, exercise diplomacy accordingly.
Please apply direct on our website Dynamite Recruitment or call 02392 455 422
Dynamite Recruitment Solutions Ltd is acting as an Employment Agency in relation to this vacancy.