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.
- 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!