File Checker

1 month ago

Leeds, United Kingdom CB3 Associates Ltd Full time

**The Company**: Nationally renowned and ever-expanding IFA firm based in Central Leeds looking for a predominantly home-based File Checker to review private wealth focused pre and post-sale advice.
- **Office Location**:Central Leeds
- **Hybrid/Home Working**: Yes - 1-day per week in the office 4-days WFH

**Package**: £25-28k DOE + discretionary bonus and full company benefits
- Benefits: Auto-enrolled pension, 4xDIS, 24-days holiday + stats plus a flexible benefits package
- Working hours: 37.5hrs p/w

**The Role**: To assess the suitability of advice provided by the group’s Financial Advisers covering product lines such as Investments, Pensions, Protection, Mortgages and General Insurance:

- Assessing new business submissions in accordance with the firms’ Business Standards
- Providing appropriate feedback to individual advisers
- Proactively identifying trends and feeding continuous improvement
- Identifying and building relationships with key contacts (both internally and externally) and providing advice and guidance as required
- Promotion of teamwork within the Business Assessment Team

**The Person**: Will come from a wealth management environment and ideally hold at least 2 years’ experience within internal compliance, supporting private wealth focused financial advisers:

- QCF level 4 Diploma qualified, or Part-Qualified and actively studying to complete
- Exposure to the COBS, ICOB and MCOB product and sales process preferred but not essential
- FCA regulatory knowledge

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