The role of the Business Monitoring Officer is to carry out client file reviews and assess the quality of advice in line with network processes and advice standards.
This will include reviews on a wide range of financial products (investment, pension, mortgage and protection) providing written feedback via our CRM system and liaising with firms and advisers to assist with any queries and issues.
Main Duties & Responsibilities:
- To understand and apply network specific client file review requirements to client file reviews completed
- To provide feedback via the network CRM system in a timely manner, within agreed timescales and whilst meeting quality standards
- To act with professionalism at all times when dealing with clients and colleagues
- To advise ASHL of any assistance required in order to meet the objectives, KPI and key requirements of the role.
- Be adaptable to the development of the role
- To respond to any client file related queries raised by firms in a clear and concise manner.
- To report to the Head of Compliance any specific issues or concerns regarding the quality of advice given or activities undertaken by advisers authorised by the network
- Have and maintain a detailed understanding of the Lyncombe Consultants Compliance Monitoring programme.
- Excellent interpersonal skills and be able to self-motivate and also be a team player.
- Be familiar with the group services and proposition so that you can direct enquiries to the relevant areas, for support across the whole business.
- Minimum of QCF Level 4 Diploma qualification with a desire to continue to study through to level 6
- Minimum of 2 years working within a compliance monitoring role.
To apply please email a copy of your CV and a covering letter detailing your suitability to the role.