Our Client is well known and operates within the Financial Services/IFA Market. They are now looking to meet with an Experienced Compliance Professional and one who ideally has Experience of Reviewing and Signing Off New Business Written.
Although this role ideally requires someone who is Level 4 Diploma Qualified, our Client will seriously consider someone that has Full FPC and not yet Level 4 but well down the line to achieving!
Purpose Of The Role:
* To review the suitability and quality of advice given to customers by advisers and to ensure that any identified areas of concern or development are appropriately addressed, primarily in relation to business written by IFA's.
* Identify and report any significant trends or concerns regarding business quality or adviser conduct.
* Report any other risks identified in the course of business as usual.
- to assess the accuracy, completeness and suitability of cases submitted by advisers thus ensuring compliance with regulatory guidance, rules and adherence to Client Procedures.
- to deal with technical queries from advisers.
- to review files relating to Pension Transfer, Equity Release, Long Term Care and other IFA Related Business
- to undertake any regulatory reviews and other tasks including project work, where required, by management.
Knowledge/Experience & Qualifications Required:
* FPC & CeMAP
* Level 4 Diploma Qualified (ideal but not essential)
* Must have current or very recent experience of file assessment ideally within an IFA environment
* Ability to provide constructive feedback to IFAs and colleagues
There is also a Good Salary & Benefits Package Available!