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Location
- Witney, Oxfordshire
Department
- Courtiers Investment Services Limited (CISL) Compliance
Reports to
- Head of CISL Compliance
Role Purpose
- The Business Review Analyst will strengthen CISL’s governance and Consumer Duty framework by conducting structured reviews of client files, operational processes, and regulatory controls. This role is critical to ensuring compliance with FCA requirements, while supporting CISL’s commitment to delivering fair client outcomes and strengthening regulatory confidence
Key Responsibilities
- Regulatory & Governance Reviews:- Perform Consumer Duty outcome testing across advice and platform services. – Support AML monitoring, including periodic file reviews and transaction sampling.
