Our client are an exciting, specialist Financial Planning & Advice firm. They are looking for a Compliance File Reviewer on a permanent basis to support the growth of the business.
The Compliance File Reviewer will respond to deadlines and service levels that require a focus and dedication to quality and principles of the firm.
Role Responsibilities:
- Conducting pre-and post-advice case file reviews and giving constructive feedback to advisers/paraplanners regarding these cases
- Responding to remedial actions completed by advisers/paraplanners as a result of the reviews
- Responding to queries from advisers as required
- Contribute to consistency meetings as held by the head of business quality
- Be able and willing to undertake tasks as allocated by management
Key Skills and Responsibilities:
- Diploma Level 4 qualified as a minimum
- Financial services industry experience, for which you can demonstrate working examples of key tasks
- Ability to form good working relationships
- Ability to work under pressure
- Ability to display model behaviours in line with group values, policies and procedures.
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.