File Checker/Compliance Officer Worcestershire

Taylor Court Search & Selection Ltd
Holberrow Green
£30,000 per annum
29 Jul 2017
24 Aug 2017
Contract Type
Full Time

Our client is a small, successful IFA company who are looking for a File Checker/Compliance Officer or Compliance Assistant for their friendly team.

Salary to £45,000 dependent on background & qualifications. Diploma level is NOT strictly needed however is desired.

Duties will include;

  • File checking
    Review the new business file
    Prepare and participate in the Annual Compliance Audit
    Maintain records required by the FCA
  • Discuss any compliance breaches, remedial action and providing advice as required with the management team.
    Follow the Suitability of Advice & Sales procedures for assessing the suitability of advice
    Conduct a review of the Know Your Customer and Suitability Letter/Report
    Deal with the post sale checking list of cases
    Keep electronic records of all pre-approvals/ post sale checks and communications with all parties
  • Ensure compliance with related legislation, such as Data Protection, Anti-money Laundering Regulations and Bribery Act.
    Ensure regulatory fees are paid promptly
  • Ensure all appropriate documentation is captured and including any documentation referred to n the suitability report
    Sense check the fact find for completion against relevant documents to evidence the advice.

Excellent scope for progression & increasing earnings by getting involved in other aspects of the company will be offered (if desired)

*You must have Financial Services experience to be considered for this

Refer to our website for further/contact details or call us to discuss;

Taylor Court Search & Selection Ltd.