File Checker/Compliance Manager - Bath

Recruit UK
Bath, Somerset
10 Jul 2017
08 Aug 2017
Contract Type
Full Time

Recruit UK is working on a role for a forward thinking financial planning firm who have built their reputation across the South West. They have a loyal client base and continue to develop new business, so now require an experienced File Checker to provide full support to their busy IFA’s.

Successful candidates will hold the level 4 diploma and hold experience of working within a compliance regulatory role within an IFA.

Duties will include:

  • To accurately assess the suitability of advice given by Advisers against the standards set by the Company.
  • To assess the clarity, accuracy and adequacy of Adviser documentation and record keeping against the standards set by the Company.
  • To issue clear and accurate feedback confirming any required remedial actions necessary to avoid negative consumer outcomes.
  • To ensure that any required remedial actions are completed by Advisers within acceptable timescales.
  • To maintain knowledge of the Company's compliance procedures and relevant Regulatory Rules.
  • To maintain the technical knowledge necessary to assess the suitability of advice provided by advisers across the range of products and services offered by the Company.
  • Ability to identify and report potential cases of financial crime.
  • To maintain records to the standards necessary to demonstrate Adviser and departmental performance.
  • To effectively communicate with and deal with queries raised by Supervisors.

The ideal candidate will be able to provide clear and concise feedback. Have good communication skills including writing, presenting and influencing. Can build and maintain relationships.

A fantastic package is on offer with a competitive slay of £35,000, discretionary bonus, pension scheme, comprehensive benefits package, financial support to further exams and a generous holiday allowance.

For more information on this role please contact Louise Bibb on 01179-170416 and quote reference 11664