Job Description:  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 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.

The role will involve taking responsibility for the following:

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.

Key Requirements:

QCF Level 4 Financial Services qualification with desire/ambition to attain Chartered status.

Experience gained with an IFA firm in a financial services customer services or operational role is essential.

Sound knowledge of UK Financial Services Industry and retail products (including Corporate Business)

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.

If you would like this job advertisement in an alternative format, please contact MERJE directly.