Compliance Officer
Posted 2 days ago by Recruit Wealth Ltd
- Salary:
- £60,000 - £65,000/annum
- Location:
- Harpenden, Hertfordshire (374 miles)
- Job Type:
- Permanent
Ensure quality of advice maintained & monitored via pre-sale checks of a selection of advice files and post-sale checks. Carry out product due diligence when required. Review & sign-off financial promotions. Training & Competency. Assess adviser conduct metrics against a pre- … more