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.
- 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)
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
- 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!