CHESTER ROSE PLANNING Salary
C/O LINDA GILES - 12 THE GAP MARCHAM ABINGDON OX13 6NJ ENGLAND
Phone: +44 1635 48727
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Earnings on positions in CHESTER ROSE PLANNING
CHESTER ROSE PLANNING is looking for employees for positions:
compliance officer
Working hours
- full-time | Permanent
Language
- english
Responsibility
- review client files and provide feedback to advisers and relevant Heads of Departments
- conducting due diligence in respect of potential introducers
- drawing up and maintaining relevant Firm related Key Performance and Management Information
- financial Promotions – Approval of new and re-approval of existing financial promotions and keeping records
- maintenance of the firm’s regulatory registers
- new Advisers & Snr Manager Recruits – Assist in assessing Fit & Proper
- anti-Money Laundering – deal with questions form staff in respect of the firm’s AML requirements
- assist the Head of Compliance with formulating and updating Compliance & T&C Manuals and procedures as and when required
Requirements
- diploma Level 4 or close to completion
- minimum of 2 years financial services industry experience, of which key working examples of key tasks can be demonstrated
- able to form good working relationships
- ability to work under pressure
- ability to display role model behaviours in line with the firm’s policies and procedures
- ability to be flexible and adapt to change
- compliance administration: 2 years