Compliance and Quality Assistant
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.
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
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.