IFA File Reviewer - part time
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.
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.
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.