Pinnacle Wealth Management
Compliance Officer
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Main Purpose of Job
The Compliance Officer will provide comprehensive administrative support, managing and coordinating procedures and systems to ensure efficient business processes and continuous process improvement.
The Compliance Officer will ensure that new business applications are processed efficiently, compliantly, and in a timely manner to meet the team and company's goals. It involves liaising with Financial Advisers and Assistants to maintain compliance with St. James’s Place and Pinnacle Wealth Management’s quality standards.
Key Responsibilities of the Job
New Business Applications
- Manage and oversee the processing of new business applications (including protection) from submission to completion.
- Ensure all applications are processed within our agreed SLAs.
- Track and report the progress of applications to relevant stakeholders.
- Investigate and respond to Adviser and Assistant queries.
- Ensure all business registers are updated regularly in so far as data and information management is concerned.
Compliance and Quality Assurance
- Manage workload to ensure submissions are processed in line with our compliance and quality requirements.
- Liaise with Financial Advisers and Assistants to ensure submitted business adheres to compliance standards set by Pinnacle Wealth Management.
- Stay up to date on regulatory and Business Assurance (BA) changes to ensure the business remains compliant.
- Ensure all aspects of regulatory compliance are adhered to regarding St. James’s Place’s procedures, external regulatory and statutory requirements such as procedures, health and safety etc.
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Administrative Support
- Provide a comprehensive personal and confidential administrative service to all Financial Advisers and Assistants.
- Adhere to procedures and utilise systems which will ensure the effective running of the Paraplanning and Compliance Team.
- Prioritise work appropriately to meet competing demands.
- Maintain appropriate filing and record systems, including confidential documents and files to ensure immediate access when required.
Liaison and Communication
- Provide guidance and support to Financial Advisers and Assistants regarding compliance and application processes.
- Share feedback trends amongst the team to increase efficiency.
- Facilitate effective communication with external stakeholders, such as Business Assurance.
Process Improvement
- Implement best practices to enhance efficiency and accuracy in application processing.
- Identify opportunities to streamline and improve business processes and workflows.
- Identify and escalate system issues promptly.
- Provide training and support to team members on new procedures and compliance requirements.
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Other Responsibilities
- Undertake any other relevant tasks and duties as required by Pinnacle Wealth Management LLP.
- Support the Transfers Team as and when required.
Requirements of the Job (including Interpersonal)
- Previous experience working in a compliance role or similar
- Excellent communication skills; being discrete and professional in all communication.
- Ability to work under pressure and meet deadlines.
- Extremely organised with the ability to multi-task whilst maintaining strong attention to detail
- Solution and service orientated.
- Technology savvy and willing to embrace new systems and software.
- Good analytical and decision-making skills.
- Ability to influence stakeholders.
- Highly motivated, with a great work ethic.
- Accountable for own actions and willing to work at times in isolation and as part of a wider team.
- Being agile and adaptable.
- Emotional intelligence
- Resilient
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