Compliance File Reviewer

  • Location

    Ellesmere Port

  • Discipline:


  • Job type:


  • Salary:

    £35,000 + Benefits

  • Consultant:


  • Email:


  • Job ref:


  • Published:

    almost 2 years ago

This role sits within the company’s Compliance Department and will assist with the compliance checks that must be in place to make sure that the company standards are kept to their expected high standard at all times.

Key responsibilities include:

  • Reviewing client advice files including pension transfers and other pensions with safeguarded benefits as well as monitoring training and competence for the advisers in that team.
  • Maintain the knowledge of compliance procedures and relevant Regulatory Rules as well maintaining the technical knowledge necessary to assess the suitability of advice across the range of products and services offered by the company
  • Construct a professional and clear report on each file identifying areas where the firm can improve their regulatory behaviour
  • To advise the company of any assistance required in order to meet the objectives, KPI and key requirements of the role.

The Person:

  • Level 4 Diploma (or equivalent) is essential
  • Must come from a compliance/financial services back ground.
  • Minimum of 2 years working within a file reviewing 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.