Compliance and Quality Assistant

Cavendish Maine
15 Apr 2017
15 May 2017
Contract Type
Full Time
Job Title: Compliance and Quality Assistant

Location: Bath

Job Sector: Financial Services

Job Type: Permanent Full Time

Salary: £24,000-£32,000

Job Reference: KP/18574

About the client:

Cavendish Maine are looking for an experienced Quality Assistant to join a financial services company in Bath. This company is actively recruiting across a variety of departments due to ongoing and projected growth across multiple offices in the UK. In joining this organisation you will benefit from a larger scale proposition; delivered and executed through a confident and friendly team in Bath.

About the Role:

Reporting into the department head and Quality Manager you will be ensuring all files adhere to regulatory standards and manage the pre-approval process in acting as a quality filter for all files.

Your responsibilities will include:

- Reviewing pre and post advice files
- Assisting and owning elements of the complaints process
- Managing approval process for pensions / investment solutions
- Providing technical guidance where needed
- Working with other teams to secure missing information

Key Skills/Experience Required:

The successful candidate must be able to demonstrate good technical/ product knowledge of the following: platforms/ wealth management/ pensions and/or investments. Ideally you would have worked in a similar back/ middle office role where you understand the file review process with an understanding of how a wealth management, platform or pensions firm operates. If you have any relevant qualifications this would be desirable with aspirations to be working towards DipPFS or APFS.


If your application is successful we will contact you to discuss the opportunity in more detail, within 72 hours of receiving your application.

Due to the overwhelming application response we receive through various sources should you not hear from us within one week then please assume your application has been unsuccessful.