IFA File Reviewer - part time

Thomas George Selection
26000.00 GBP Annual
08 Oct 2019
23 Oct 2019
Contract Type

Compliance File Reviewer - Part-time - Tamworth - Financial Services

A highly regarded regional IFA & wealth planning firm have an opportunity for a Compliance File Checker.

The duties of this role will be to deliver compliance quality review for cases being submitted by financial advisers.

The practice provides independent financial advice with a primary focus towards retirement, pensions, investments and wealth planning.


Role requirements;

Accurately review pre and post-advice file checks

Identify corrective action and log errors

Ensure that industry regulations and internal policies are met

Maintain accurate client records

Raise any errors or inaccuracies with relevant adviser or colleagues.


Candidate requirements;

A compliance or quality review background in Financial Services

An understanding of pensions and investments

High attention to detail

An understanding of FCA regulation

You will be analytical, insightful & be an effective communicator with an ability to deal with people at all levels

Posted by Keith Enright at Thomas George Selection
Please visit tgselection.com for further details on this and other Financial Services opportunities.
All applications received will be dealt with in the strictest confidence.
We will be in touch if your application has been successful within 3 working days. If you have not received any communication within this time, please assume you have been unsuccessful on this occasion, but your information may be retained in connection with future opportunities.