Compliance File Reviewer

Compliance

Reference ID

AL877

Category

Compliance

Salary

to £30,000 plus benefits

Contact Person

Angela Liscombe

Job description

Compliance File Reviewer

Nottingham (our ref AL877)

Salary £25,000 - £30,000 plus benefits

 

A highly regarded regional IFA & wealth firm with a successful track record of organic growth, staff retention and development have an opportunity for a Compliance File Reviewer.

The primary duties of this role will be to deliver compliance quality review across financial adviser business being submitted.

The practice provides independent financial advice with a primary focus towards retirement, pensions, investments and wealth planning.

Role requirements

·        Accurately review pre and post-advice file checks

·        Identify corrective action and record errors following up any remedial actions to completion

·        Ensure that industry regulations and internal policies are met

·        Raise standards of the adviser population through maintaining accurate client records

·        Work closely with members of the compliance team, FCA and provide support where required.

·        Provide support to the Head of Compliance & Governance to improve processes within the department

·        Other ad hoc duties as required.

Candidate requirements

·        You will ideally have 12 months industry experience of investment and pension files checking and ideally hold the level 4 qualification in Financial Planning or be studying towards that.

·        A good understanding of pensions and investments is desirable.

·        High attention to detail

·        An understanding of FCA regulation

·        It is essential that you have good communication skills across all areas, are self-motivated, proactive, logical, analytical and have a good work and team ethos.

If this role is of interest, please apply in confidence with an up to date CV.  We aim to respond to all applications but occasionally, due to overwhelming response, this is not always possible.  Should you not hear from us within 10 days please assume your application has been unsuccessful.  By submitting your CV you consent to it being retained for use in connection with this and future relevant and/or similar vacancies, you can of course, opt out of this at any time by emailing us. Our full Privacy Notice can be found on our website.

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