Business Compliance Specialist – Financial Services & Investments

Job Ref: 

With exciting development plans in place, a prestigious and well-established financial services company are looking for a Business Compliance Specialist to join their team during this exciting time of growth.

Working within a busy and sociable environment, the Business Compliance Specialist will be responsible for carrying out file reviews, undertaking AML checks, preparing business compliance KPIs and completing FCA reporting.

Due to the specialist nature of this role, my client requires a candidate who has proven experience working within a compliance based role who has an excellent understanding of industry regulations and file checking.  Candidates with the relevant qualifications in a different area of the industry will also be included e.g. Paraplanners.

This is an excellent opportunity for an experienced specialist to further their career within a company who can offer a competitive salary, a reputable benefits package and clear paths of progression.

The Business Compliance Specialist will be responsible for:

  • Carrying out file reviews, checking all documentation, reviewing Adviser recommendations to clients in relation to ISA and pensions
  • Monitoring and recording AML checks
  • Liaising closely with senior management and Advisors with regards to your findings
  • Preparing and reviewing business compliance KPIs
  • FCA reporting duties
  • Reviewing and signing off literature against the firms services and FCA Financial Promotions rules

Essential Requirements:

  • Proven experience within a qualified role from the financial services industry e.g. Paraplanner, Compliance 
  • Certificate in Financial Planning, RO4 or equivalent
  • Excellent analytical and problem solving skills
  • Experience with pensions and investments would be beneficial
  • Strong working knowledge of Microsoft Office
  • Meticulous attention to detail



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