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.
- Qualified to QCF4 as a minimum
- Strong experience in reviewing Pensions and Investments
- Experience gained with an IFA firm
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.