Compliance Consultant – Greater Manchester

CRS (Compliance Resource Solutions Ltd)
Published
March 1, 2018
Job Type
Secondary Category
Financial Services - Paraplanning
Min. Experience
1- 2 years
Min. Qualifications
Vocational
Salary
£35k - £40k + Excellent Benefits Package
Willing to Relocate
Yes

Description

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 has Experience of Reviewing and Signing Off New Business Written.

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 The Group Members.

* 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.

Main Duties:

- to assess the accuracy, completeness and suitability of cases submitted by advisers thus ensuring compliance with regulatory guidance, rules and adherence to Group Procedures and recording data on the appropriate databases.

- chase outstanding information from advisers, where appropriate on a regular basis to ensure TCF principles are adhered to.

- to deal with technical queries from advisers.

- to review files relating to Pension Transfer, Equity Release and Long Term Care where the appropriate qualification is held.

- to undertake any regulatory reviews and other tasks including project work, where required, by management.

Knowledge/Experience & Qualifications Required:

* Must be at least Level 4 Diploma Qualified (Financial Services) which will ideally include include a Pension Qualification, such as G60 / AF3

* 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 Benefits Package Available!

Apply
Drop files here browse files ...
We only accept Word Document Files
Captcha

Related Jobs

IFA Helpdesk - Compliance Support Consultant - Greater Manchester   Greater Manchester, United Kingdom new
June 22, 2018
Senior Frontend Developer - Gibraltar   Gibraltar, Gibraltar new
June 22, 2018
Pension Transfer Specialist - Homebased   Nationwide, United Kingdom new
June 22, 2018