New Business Assessor – Swindon

CRS (Compliance Resource Solutions Ltd)
May 21, 2018
Swindon, United Kingdom
Job Type
Secondary Category
Financial Services - Paraplanning
Min. Experience
1- 2 years
Min. Qualifications
£30k - £32k + Excellent Benefits
Willing to Relocate


Our Client is well known throughout the Financial Services Industry and operates within the IFA Market. They are now looking to meet with an Experienced New Business Assessor / Compliance Support Consultant.

Purpose of The Role:

To assess the suitability of advice of Our Client's Appointed Representatives across all business lines.

Key Activities:

  • Review the client files within the agreed criteria to the appropriate standards and in accordance with the current Insight checklists
  • Record the results of the assessment accurately and concisely.
  • To achieve the agreed number of advice checks and peer review checks per day.
  • To be a positive role model, committed to embedding the Outcome Based Principles
  • To provide courteous and consistent support to advisers and supervisors to improve quality.
  • Working effectively with the appropriate Operations, Distribution and Compliance teams to improve advice quality across The Group.


The following qualification's are required:

  • Diploma (or working towards)
  • FPC


The following experience is essential:

  • 2 - 5 years in Financial Services in either a Business checking, T & C, Adviser or Para Planner role.
  • Dealing with difficult customer situations


Knowledge of the following is essential:

  • COBS product and sales process
  • COBS, regulatory requirements
  • TCF
  • Data Protection
  • Anti Money Laundering


  • Strong attention to detail
  • Sound judgement and decision making skills
  • Good analytical and problem solving ability
  • Good listening skills
  • Strong influencing skills
  • Strong relationship and interpersonal skills
  • Clear written and spoken communication skills

There is also an Excellent Salary & Benefits Package Available with This Role!

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