c. £42,000 + benefits
4 months ago
The role will involve checking the suitability of advice provided by advisers to a high standard in line with the Regulator’s expectations.
Key responsibilities include:
- To undertake client file reviews in line with Group procedures covering all aspects of business written within the Group
- Construct a clear and professional report on each file identifying whether the Adviser has met the regulatory and internal compliance requirements.
- Provide both written and verbal feedback to Advisers regarding the findings of the review.
- Build rapport with the Advisers within the Group to ensure that good relationships are maintained across the Group.
- Assist with the development of internal systems and process within the Business Monitoring Team
- Identify any negative trends and propose a resolution to achieve the required Group standards
- Assist with planning and delivering File Review training to Advisers and Paraplanners within the Group, as required
- Assist with Due Diligence exercises as required by the business
- Diploma in Financial Planning (or equivalent) or working towards this
- AF7 (Pension Transfers) and AF8 (Retirement Income Planning) qualifications are desirable.
- Minimum of 3 years’ financial services industry experience, preferably in a compliance monitoring/file review/technical specialist role
Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.