£33,000 + benefits
11 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.
- 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)