Please see references below regarding qualifications and their abbreviations.
- ACA – Chartered Accountant
- ACMA – Cost & Management Accountant
- CGMA – Chartered Management Accountant
- ACCA – Commercial Certified Accountant
- CPA – Certified Public Accountant
- IFQ – Islamic Finance Qualification
- FIMBRA: Financial Intermediaries, Managers, And Brokers Regulatory Association
- ICA: International Compliance Association_Diploma In Compliance
- Diploma In Investment & Compliance
- Certificate In Anti Money Laundering
- Certificate In Compliance
- Certificate In Financial Crime Prevention
Investment and Wealth
- PCIAM – Private Client Investment Advice & Management
- CISI – Chartered Institute For Securities and Investment Private Client Advice
- IAD – Investment Advice Diploma/Chartered Wealth Manager Qualification
- CFA – Chartered Financial Analyst
- IAQ – Investment Administration Qualification.
- CAIA – Chartered Alternative Investment Analyst
- IMC – Investment Management Certificate
- IOC – Investment Operational Certificate
- Dip PFS – Diploma in financial planning
- Dip FA – Level 4 Diploma Financial Advisors
- QPA – Qualification in Pensions Administration
- CPC – Certificate in Pensions Calculations
- DPC – Diploma in Pensions Calculations
- RPC – Retirement Provision Certificate
- APMI – Advanced Diploma in Retirement Provision
Compliance Quality Assurance
Salary: to £ 50000 p.a.
Location: South East England, South East England
We are currently looking for a Qualified Financial Services Professional to assist our Compliance Director.
The candidate will be involved in assessing and checking the advice provided by the advisory team.
The candidate must be highly experienced in the advisory process and have extensive experience of suitability report production, ideally with knowledge of Trusts, IHT Planning, Pensions, Investments and Wealth Management.
The candidate will be assessing the work being produced for our clients and ensuring our high standards are maintained. We have a commitment to the highest levels of professionalism.
The candidate will be at least Diploma (level 4) qualified, but preferably progressing towards or qualified to Advanced Diploma/Chartered level (level 6).
We provide support with ongoing study and will require candidates to take further qualifications to gain Chartered Status and to take part in Continuous Professional Development.
The candidate will be required to provide technical support and assistance to the advisory team and so a good knowledge of current legislation is necessary.