Base: $3,500 - $4,500; bonus/equity: not specified...
Experience in financial advisory industry
Knowledge of financial advisers act
Proficiency in microsoft excel
The role involves ensuring the company functions legally and ethically while meeting business goals as part of the Risk and Compliance department
Job Summary
The role involves ensuring the company functions legally and ethically while meeting business goals as part of the Risk and Compliance department.
Key responsibilities include conducting balanced scorecard audits, regulatory reporting, misconduct investigations, and performing due diligence on business relationships.
Candidates must stay updated on regulatory developments such as the Personal Data Protection Act and support their implementation across the organization.
Matching Summary
Match Score: 85
The role involves ensuring the company functions legally and ethically while meeting business goals as part of the Risk and Compliance department.
Salary
Base: $3500 - $4500; Bonus/Equity: Not specified; Benefits: Not specified
Skills & Requirements
Must-have
Experience in financial advisory industry
Knowledge of Financial Advisers Act
Proficiency in Microsoft Excel
Nice-to-have
Compliance qualification preferred
Insurance industry experience advantageous
Proactive regulatory communication skills
Key Requirements
Minimum A-level or Diploma qualification
Prior experience in financial advisory sector
Familiarity with FA or insurance industry regulations