Compliance Executive

My client is a successful Investment Management & Financial Planning firm based in Harrogate, providing sound financial advice to both businesses and individuals across the UK.We are urgently seeking an experienced Compliance Executive who will assist the Compliance Officer with all aspects of the Group’s compliance and risk management processes.Specifically you will:Work alongside the Compliance Officer to provide any assistance or information as applicableExecute and maintain compliance monitoring for the financial planning subsidiaryPro-actively identify and report any regulatory risks and issues to the Compliance OfficerCompile ongoing Management Information highlighting any areas of concern to the Compliance Officer and providing a monthly update on compliance issuesCarry out ad hoc file reviews to ensure policies and procedures are being adhered toAssist the Compliance Officer with resolving any regulatory issues that may ariseDraft new and reviewing existing policies and procedures for approval by the Compliance Officer.Assist with the collation of information for regulatory returnsEnsure they familiarise themselves and abide by the Company’s value statement and policy with regard to TCF (Treating Customers Fairly)Ensure KYC (Know Your Client) and TCF policies and procedures are adhered toEnsure that they familiarise themselves and abide by company policy on Client Data Security.Ideally you will have experience working within Compliance within a Financial Planning or Investment Management firm with strong knowledge of Compliance procedures relating to KYC, TCF and also File Reviewing within Investments & Pensions, with 3+ years experience and ideally Level 4 Diploma qualified, any other Compliance qualifications you may have will be to your advantage.A great salary and benefits package is offered with this role, contact to discus further in detail.Additional informationVACANCY DETAILSLocation:HarrogateCLOSING DATEMay30APPLY NOW!If you would like to apply for this vacancy by uploading your CV to Lime then please use the form below.Vacancy ApplicationWe would love to hear from you! Please fill out this form and we will get in touch with you shortly.Your Name*Your Email*Date of Birth*Where do you live*Application Statement*Please include why you would like to be considered for this ApprenticeshipCompany Registration:Lime People Search & Select Ltd 08062097The Lime People Group of Companies includes Lime People Search & Select Ltd, Lime International Management Enterprises S.L.
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