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Business Monitoring Officer (Suitability Report Oversight)

  • Location: City of London
  • Salary: £45,000 + benefits per year
  • Job Type:Permanent

Posted 13 days ago

  • Sector: Compliance
  • Contact: Paul Clayton
  • Expiry Date: 18 December 2021
  • Job Ref: PC/18336

​The role will be responsible for creating and maintaining a bank of Suitability Report templates for the business, working with advisers and paraplanners to ensure these are compliant and ‘customer focussed’. You will assist with the education and training of new and existing Advisers within the company to ensure that they have a thorough understanding of the compliance standards that need to be achieved and maintained.

Key responsibilities include:

• Ensure that template Suitability Reports are compliant and in line with company checklists and guidance

• Liaise with Advisers and Paraplanners in the business to ensure that the templates are ‘client focussed’ and take into account the requirements of different offices within the business.

• Work effectively with the Business Quality Team to encourage examples of ‘best practice’ to be highlighted and incorporate these into future guidance and Suitability Report templates.

• To undertake client file reviews in line with Group procedures covering all aspects of business written within the Group

• Assist with planning and delivering File Review training to Advisers and Paraplanners within the Group, as required

• To assist in other areas of Business Monitoring/Compliance, as required.

The Person:

• Diploma in Financial Planning (or equivalent) or working towards this

• Working knowledge of the UK regulatory framework

• 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