Compliance File Review
3 weeks ago
Due to continued success in providing financial advice to private clients, this growing IFA practices requires a professional and proactive Suitability File Reviewer to provide support to Advisers and the compliance team.
Conducting advice suitability file reviews, ensuring risks are minimised but retaining a commercial acumen to promote the continued growth of the advisory business. This role will suit an experienced financial planning (IFA) support professional with anexcellent eye for detail and diligent work ethic. The position can be performed remotely after initial training.
Duties for this role will include:
- Provide the business with effective and robust advice suitability checks on all areas of the advice process including advice file checks and focused file audits.
- To influence and assist all areas to establish and maintain appropriate standards of business practice consistent with company and regulatory requirements.
- To build effective, supportive relationships with key stakeholders to facilitate and develop the company and regulatory culture.
- To assist in evaluating employee performance and identifying training needs.
You will likely have:
- Good standard of education including English and Maths.
- Experience in an IFA/Wealth Management support role
- Preferably a financial services qualification
- Excellent knowledge of the UK Financial Services Regulatory Framework
- Excellent product knowledge of Pensions, Investments, Mortgages and Protection
This is an excellent role within a forward thinking and innovative firm who are continually looking to improve and develop the services which they offer to their clients. In return, you will receive a generous basic package and the support to develop yourskills and further your career.
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