IFA Business Quality Reviewer (Compliance), Birmingham

Recruiter
Resource Matters Ltd
Location
Birmingham, UK
Salary
Competitive
Posted
09 Sep 2019
Closes
29 Sep 2019
Ref
1222709841
Sector
Accountancy
Contract Type
Permanent
Hours
Full Time
Our client, a major and fast-expanding Financial Advice organisation, have an exciting role for a Business Quality Reviewer to join their Compliance team at either the Reading or Birmingham office (includes travel to other offices when required).

The purpose of this role is to manage and assess file reviews submitted by the Company's Independent Financial Advisers in line with the Company's Training and Competency (T&C) requirements.

The role holder will ensure that the Company's extremely high quality of compliance and risk management is maintained through the quality of the Company's client files. You will be Diploma Level 4 qualified (or close) and have experience in a similar IFA support role.

Key responsibilities

To ensure all required Know Your Client (KYC) information and client documentation is collected and stored in line with the Company's regulatory requirements

To interact with internal stakeholders, providing regular updates with regards to progress and timelines for service delivery

To review all files within the Company's agreed level of service on file turnaround times

To assist the Compliance team with department projects and thematic reviews as required.

Experience & Core skills

Sound knowledge of UK Financial Services Industry and retail products (including Corporate Business)

Experience gained with an IFA firm in a financial services customer services or operational role is essential

Qualified to Level 4 (or close)

Working knowledge of MS Office - including Excel, Work, Outlook and Powerpoint Proven experience of working with multiple systems and databases Experience of working successfully in a target driven, operational environment

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