Compliance monitoring (client file reviews)
Permanent @Charlie Watson posted 5 months ago in Compliance Shortlist Email JobJob Detail
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Job ID 41084
Job Description
Compliance monitoring (client file reviews)
- Up to £45k
- Permanent role
- 1 day per week in Manchester
- Please DO NOT APPLY UNLESS you have QCF Level 4 Diploma qualification in financial advice or solid background in the advice process
- MUST Â have knowledge in Pensions, Investments and protection advice.
Key responsibilities
- Deliver a client file review service in line with Service Level Agreements
- Respond to client queries in a timely, clear and concise manner, setting customer expectations in respect of timescales anticipated, and recording information in line with business standards
- Provide oral feedback to clients in respect of client file reviews as required
- To report to the Head of Compliance any specific issues or concerns regarding client firms which might realistically affect their ability to trade, or affect their, or the employers, ability to fulfil its commercial and contractual obligations to one another
- Maintain a CPD record in line with FCA requirements for regulated individuals
- Generate reports and summaries of thematic reviews/file assessments as requested by the Head of Compliance
- Maintain professionalism and ensuring that advice is not in conflict with other parts of the business, not exposing the company to commercial or reputational risk
Qualifications and experience
- To be a minimum of QCF Level 4 Diploma qualification, with a desire to continue to studying through to level 6
- Experience in a compliance/technical area of a support service, network or IFA business.
- Detailed knowledge of regulatory framework required to carry out client file review
- Experience of providing feedback to IFAs in relation to client file quality or T&C issues
- Proficient Microsoft Office suite skills – Word, Excel, Outlook
- Good communication skills verbal and written formats – for internal and external clients
- High attention to detail
- Full UK driving license
What we offer
- A friendly, supportive and accommodating working environment
- Office based / hybrid and home based working options are available as required
- Investment in training/qualifications
- 27 days holiday (plus bank holidays)
- 8% employer pension contribution, plus the ability to elect to make a personal contribution via salary sacrifice
- AVIVA Private Health Care
- Death in Service benefit (4 times annual salary)
- Income Protection Insurance
- Free parking