IFA Compliance File Checker-Home based UK wide

Coast Specialist Recruitment
14 May 2017
13 Jun 2017
Contract Type
Full Time

Internal Compliance Consultant with a respected Specialist

Due to the increasing number of IFA firms that our client looks after and the changing way in which they support some of these clients, we are now looking to have an in-house compliance consultant to manage a select number of firms and to support the field based compliance consultants with their clients.

We expect this role to develop as they expand further and look to have a team of in-house file reviewers.

Key Duties:

· Reviewing files

· Trend Analysis

· Assisting in the collation of MI/KPI

· Answering client queries

· Review financial promotions

· Review CPD activity

· Review of consultation papers/provide internal & external feedback

· Maintenance of the technical operations manual

· Updating templates.

The Candidate

  • Ideally living within travelling distance of Colchester (45 Minutes) Ipswich, Witham, Kelvedon, Clacton etc.
  • Must be at Diploma Status
  • Must have had experience of file checking, preferably those of an IFA in both Investments & Pensions

The Rewards

· Annual Salary £25,000 - £28,000 depending on experience

· Hours 9am - 5pm or 8am - 4pm Monday to Friday

· 25 days’ holiday plus bank holiday’s

· Pension contribution

· Life Insurance

Please apply asap for full details.