A highly reputable IFA firm are currently seeking an experienced Compliance File Checker.
Your main duty is to assist the Compliance Director and Operations Manager to ensure that the firm complies with the rules & regulations as laid down by the FCA whilst also paying due regard to Company policies and procedures by carrying out a series of regular checks on documentation and files as required.
To be aware of and implement the principles of "Treating Customers Fairly (TCF)" at all times.
An administration, compliance or quality review background gained in Financial Services Advice Knowledge of pensions and investment cases
High attention to detail and accuracy
An understanding of FCA regulation
You will be analytical, insightful be an effective communicator with an ability to deal with people at all levels