File Checker/Compliance Officer. Worcestershire
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 GBP45,000 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.