Compliance File Reviewer
Our client is a well-respected Financial Services organisation looking to recruit a Compliance File Reviewer. The individual would be an integral part of a busy compliance team responding to deadlines and service levels that require a focus and dedication to quality and principles of the organisation.
- Experienced in reviewing pension and investment to include:
- Occupational Pensions
- Occupational Pensions Transfers
- Personal pensions
- Occupational Pension switches
- Off shore Bonds
- Corporate Protection
- Excellent communication skills, both written and verbal are essential requirements of the role.
- Quality assess both pre - sale and post -sale client reviews
- Provide feedback to advisers
- Reporting to the Head of Group Compliance and providing monthly MI
Key Requirements –
- Ideally Diploma Level 4 qualified
- Candidates who are working towards the Advanced Diploma would possess a distinct advantage
- A fundamental understanding of the Financial Conduct Authority’s Conduct of Business rules and principles of business would be desirable.