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Compliance File Reviewer

3 months ago

Manchester, United Kingdom Clayton Davies Full time

Our client is a successful financial planning business who are looking for a Compliance File Reviewer to join their growing Compliance team.


Key Responsibilities:


  • Conduct pre-sale and post-sale file reviews of advice as dictated by an adviser's checking levels and in accordance with the firm’s service level agreements, to assess suitability of advice and general compliance.
  • Provide constructive feedback to advisers in relation to their files and the remedial actions required, and ensure that these are completed to a satisfactory standard.
  • Respond to technical queries submitted to the Approvals inbox in line with the firm's service level agreements, ensuring that these are recorded on the firm's Query log.
  • Maintain the firm's Pre-Approval and Post-Sale Sign Off trackers and notifying the adviser's T&C Supervisor when they can proceed from 100% pre-sale checking and 100% post-sale checking respectively.
  • Conduct thematic reviews of the file review assessments outcomes and report to the Head of Compliance on any concerns identified.


Requirements:


  • Minimum Diploma in Financial Planning qualified (or equivalent)
  • Previous experience in a Compliance Monitoring/File Review role