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Business Quality Reviewer

  • Location

    Birmingham

  • Discipline:

    Compliance, Risk Management

  • Job type:

    Permanent

  • Salary:

    £33,000 + benefits

  • Consultant:

    #

  • Email:

    pclayton@merje.com

  • Job ref:

    PC/15822(a)

  • Published:

    6 months ago

The purpose of this role is to manage and assess file reviews submitted by the Company’s Independent Financial Advisers in line with the Company’s Training and Competency (T&C) requirements.   The role will ensure that the Company’s extremely high quality of compliance and risk management is maintained through the quality of the Company’s client files.

Key responsibilities include:

  • To ensure all required Know Your Client (KYC) information and client documentation is collected and stored in line with the Company’s regulatory requirements
  • To interact with internal stakeholders, providing regular updates with regards to progress and timelines for service delivery
  • To review all files within the Company’s agreed level of service on file turnaround times
  • To maintain policy and process knowledge to ensure consistent competency and Key Performance Indicators are met
  • To monitor own performance to ensure personal targets and standards are met
  • To maintain personal compliance of operational and regulatory risk
  • To escalate areas of concern to the Group Director Compliance and Risk and identify trends and emerging risk to the business
  • To assist the Compliance team with department projects and thematic reviews as required.

The Person:

  • Sound knowledge of UK Financial Services Industry and retail products (including Corporate Business)
  • Experience gained with an IFA firm in a financial services customer services or operational role is essential
  • Qualified to Level 4 (desirable)