to £30,000 plus benefits
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.
· 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.
· 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.
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