- Assist with the preparation and undertaking of regular file checks for New Business & Ongoing Reviews and taking on additional responsibilities in preparing management information required for file picking and consideration of how procedures can be improved.
- Progression to mortgage file checks on being sufficiently experienced and qualified.
- Ensure learning statements correctly recorded in Adviser Development File.
- Assist advisers with keeping their Cii or CISI CPD records up to date during the year with the inputting of structured and unstructured CPD certificates. Reminding advisers to complete the reflective statements where necessary.
- Assisting with keeping compliance records up to date including: Significant Breaches Register
- Record Financial Promotions received from advisers and their teams in the Financial Promotion Register.
- Assisting with twice-yearly Threesixty Compliance Business Risk Visits preparation and follow-up actions.
You should either have File Review experience and now be looking to develop a broader Compliance career (full training provided) or else have existing IFA compliance experience. Our client would also consider those working at FOS with experience of the IFA sector and good knowledge of COBS now looking to move into a house compliance & file review role to broaden their career prospects. No need to be qualified but you would be expected to study for (and be fully supported in obtaining) the Diploma in Regulated Financial Planning or equivalent relevant qualification.
So, if that sounds like you, thenplease send your details to our MD, David Symes FCA, at firstname.lastname@example.org (Including a contact no) however please note due to COVID-19 we cannot reply to all applications so only successful applications will be contacted (although under no circumstance are your details ever passed on without your specific permission).
Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role.
The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge.