As a Client File Checker, you will play a vital role in assessing the accuracy and suitability of files to ensure compliance with regulatory requirements. Your knowledge across different products (such as pensions and investments) and strong attention to detail will contribute to maintaining our clients' compliance and reputation.
The role will involve taking responsibility for the following:
Conduct comprehensive file reviews across a range of different products, ensuring compliance with regulatory requirements and internal policies
Evaluate the accuracy and completeness of client information, investment objectives, risk assessments, and supporting documentation
Identify any gaps, discrepancies, or potential compliance issues and communicate findings to the relevant stakeholders
Be required to produce consistently high quality, thorough and technically accurate client file checks
Have knowledge of most business types including high risk areas such as defined benefit pension transfers, pension switches and esoteric product lines
Be capable of dealing with in-depth technical compliance queries
Contribute to internal file checking standards development
Be qualified in the Diploma in Financial Planning (or equivalent)
Advanced CII Qualification(s) (or equivalent) desirable
Pension transfer qualification desireable
Have a good working knowledge of COBS, ICOBS, MCOB
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.
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