Compliance officer/File Review - Financial Services IFA

Recruiter
Astral Recruitment
Location
Leeds, UK
Salary
Competitive
Posted
08 Oct 2019
Closes
19 Oct 2019
Ref
1273109675
Sector
Accountancy
Contract Type
Permanent
Hours
Full Time
Our client is a National IFA and they have an exciting role for a Business Quality Reviewer to join our 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

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

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 (desirable)
  • Working knowledge of MS Office - including Excel, Work, Outlook and Powerpoint

PLEASE NOTE THIS IS NOT A ROLE FOR A NON IFA COMPLIANCE PERSON, WE ARE LOOKING FOR EXPERIENCED COMPLIANCE PEOPLE FROM AN IFA BUSINESS

For more details please call Jason at Astral

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