New Business Review Manager - Level 4 Qualification and Relevant Experience Required
Our Client, a leading Financial Advice/Wealth Management Company, is looking for a compliance review manager to join their compliance team. Overseeing an outsourced team reviewing current or recently completed cases, duties will include;
• Assess the adequacy of follow up actions completed by advisers following suitability file reviews
• Provide pro-active guidance and a robust response with regard to any identified trends arising from file reviews.
• Assist with collating information for internal MI
• Prepare a quarterly report on the activity completed within the role and key risk areas
• Work to help ensure achievement of the Regulator’s Conduct culture initiative is met
• Maintain knowledge of compliance manual, T&C scheme, operational procedures and related internal bulletins.
• Maintain knowledge of the products recommended and services offered by the advisers being supported.
• Assist with the updating and maintenance of internal processes and procedures from time to time as required.
• Maintain data, records and files.
You should be qualified to Level 4 (minimum requirement) and have at least three years of experience of similar new business file reviews, some of which must have been with a similar financial advisory company. You should also possess technical knowledge across pensions, investments, mortgages and protection. NB Role could be based in Surrey or else in the City but with a weekly visit to the Surrey offices.
For further information or a confidential no obligation discussion, please feel free to call David Crook on 020 7330 6963 or send your details to him at email@example.com
Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role. The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge