| Company | Broster Buchanan LtdSee more |
 Address | Merseyside, England |
 Form of work | Permanent, full-time |
| Category | Human Resources |
Job description
- Excellent base salary and company benefits.
- Fantastic exposure and career development.
- A role with mentorship and a superb supportive culture.
- Carry out file reviews and maintain a log of checks undertaken:
- Check all documentation for completeness and consistency;
- Review and assess Adviser recommendations to clients for suitability, in respect of the firms discretionary managed service, ISAs, Pension, Annuity broking, Pension Transfers/Switches & Drawdown.
- Communicate any findings with both the Adviser and appropriate senior management (monitor and assess the remedial action to ensure satisfactory completion)
- Responsibility for the delivery of the Compliance Monitoring Plan (CMP):
Completion of scheduled monitoring reviews in a timely manner; - Identify and investigate issues and/or trends which may adversely affect the businesses ability to comply with applicable legislation and/or regulations.
Refer code: 2979992. Broster Buchanan Ltd - The previous day - 2024-03-12 23:43
