Clark James Recruitment are working with an award winning Independent Chartered Financial Planners and Wealth Managers with offices across London and the South. Our client provides the highest quality financial advice to individuals, families, and businesses. This often involves working alongside other professionals to assist clients in making confident well-informed decisions to achieve their personal, financial business goals. Due to expansion, our client has a vacancy for a Senior Compliance Monitoring Executive to join their business. Role This role may suit a Paraplanner looking to move into a technical/supervisory role. A highly motivated and detail-oriented Senior Compliance Monitoring Executive to join our growing team. The successful applicant will provide essential support in first line checking to ensure reports and research meet the pre-defined quality standards and regulatory requirements demanded by the firm. This is a full-time, permanent role, however, if you require some flexibility, this can be considered. Duties and Responsibilities To undertake advice quality assurance checks Ensure that the suitability reports and technical research is of the highest quality, delivered in an efficient and compliant manner whilst mitigating any risks to the business. Meet service level agreements in a timely manner as agreed. Quality Assurance and Improvement Proactively monitor trends, clearly document, record and co-ordinate to assess the quality of advice ..... full job details .....