My client is an Investment Management & Independent Financial Advisory firm, specialising in Wealth Management, Pensions, Investments and Retirement planning, to both individuals and businesses.Specific responsibilities of the role will include:
We are looking for the follwing attributes for the role:
- Checking cases submitted for suitability reports.
- Checking all client files prior to advice being given to the client to make sure that all relevant documents are present
- Carry out spot checks of client files at the point when applications are submitted to providers to make sure that the application is correct and correct procedures have been followed.
- Carry out spot checks on benefits requests and annual reviews
- Identify and highlight any training needs identified as a result of quality checking files
- Regular and ad hoc quality and compliance monitoring
- Regular and ad hoc training modules for new and existing staff
- Have around 2-3 years experience working in a similar Compliance role, or a role which involves Compliance related activities.
- Solid knowledge of Pensions and Investments
- Level 4 Diploma in Financial Planning (or close to completing)
- Excellent attention to detail
- Ability to communicate effectively with staff at all levels