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Bruin are currently seeking candidates for their open Compliance Officer position in Northwich, through Go Job Search. Are you an experienced candidate looking to take up a Compliance Officer role such as with an industry leading company like Bruin?

Ref: 27407

Compliance Officer £34K + bonus + benefits:

Are you a compliance officer in the investment, advice or wealth management space with 2 years+ experience? Do you have a diploma or equivalent level 4 in financial planning?

Do you have a solid understanding of DB pension transfer, pension and investment environment including any recent regulatory changes/proposals.

If you fit the above we want to hear from you!

We are working with an award-winning FTSE250 client who provides complete financial planning and investment service to professionals, business owners, retirees and other high net worth individuals, and multi-asset management to financial advisers, trustees, consultants, family offices and charities.

The role: The role is as part of the Central Compliance team, which is responsible for complaints handling, pre and post sale file reviews, including high risk and DB to DC transfer recommendations and additional tasks related to both. The job role will include the following activities.

Key Responsibilities:

• Check adviser’s client files of core products including protection, mortgage, investment and personal pension against regulatory and company standards in respect of documentation and suitability of advice, ensuring they are reviewed thoroughly, fairly, consistently and promptly.

• Check adviser’s client files for specialist area products such as Defined benefit transfers, long term care, BPR and EIS against regulatory and company standards in respect of documentation and suitability of advice, ensuring they are reviewed thoroughly, fairly, consistently and promptly.

• Check Investment manager’s portfolios against regulatory and company standards ensuring they are reviewed thoroughly, fairly, consistently and promptly.

• Assist with the monitoring and tracking of remedial actions derived from the file checks

• Provide quality assurance to other file reviewers on completed investment and pension file reviews, including DB transfer advice, and feedback appropriately and constructively.

• Transfer technical knowledge and experience to more junior members of staff

• Review and approve BPR and EIS products to add to panel

• Provide training on COBS requirements to Advisers and other stakeholders in the business.

• Ad hoc support to line manager and compliance colleagues.

• Assist with business queries on compliance-related matters.

• Act as Compliance representative on business projects as required

Regulatory Responsibilities (Compliance/T&C)

• Ability to demonstrate and understand the regulatory framework relevant to the role, whilst practising effective risk management at all times.

Please send all enquiries to james.bellis@bruinfinancial.com

Location: Northwich

Bruin recognises the positive value of diversity, and aims to promote equality and challenge unfair discrimination. As a champion of equal opportunity employment we welcome applications from all suitably qualified persons – men and women, people of all ages, sexual orientations, nationalities, religions and beliefs. We particularly encourage applications from women, disabled, and Black, Asian and minority ethnic candidates as these groups are underrepresented throughout the financial services industry. Our clients work with us because they value a diverse workforce, and subscribe to our shared principle that all appointments are made on merit and that ability to perform the job will be the primary consideration.

James.Bellis

Apply now and a member of the team at Bruin will get in touch with you to discuss your career options further.

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Tagged as: Compliance Officer

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