- The identification, investigation and response to complaints - Review and sign-off of financial promotions - Conduct file reviews and call observations, as required and in line with annual compliance monitoring plan requirements assisting with the firms policy dissemination, eLearning and fit & proper arrangements to ensure the administration of both remain up to date - Marketing strategy management (online/intranet) and internal MI compilation and distribution - Assisting with the development of documented processes and procedures across the business, encompassing the identification of risk and controls and monitoring adherence reporting any issues and/or risks - Internal marketing support to breadth of adviser base.