LAITHWAITE FINANCIAL SERVICES  Salary

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THE FORGE 101 ROBIN HOOD ROAD KNAPHILL WOKING GU21 2LS
TIN: 04746423
 Finance and Insurance
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LAITHWAITE FINANCIAL SERVICES
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LAITHWAITE FINANCIAL SERVICES is looking for employees for positions:

compliance officer

  • compliance officer
  • independent financial adviser

Language

  • english

Responsibility

  • monitoring paraplanning, suitability, client files and advice, offering constructive feedback as appropriate
  • regulatory reporting including Gabriel returns, professional standards and competency, report & accounts
  • advising on practical compliance with regimes such as Consumer Duty, GDPR, MiFID II and SM&CR
  • create, edit and maintain accurate and up to date compliance records, register and procedures
  • provide guidance to advisers and support staff
  • deliver training and presentations to colleagues to increase compliance knowledge and awareness
  • assist with compliance induction for new employees