Compliance Review Expert

3 weeks ago


St Albans, Hertfordshire, United Kingdom Click and Connect Online Limited Full time

Job Summary

We are seeking an experienced Compliance Review Expert to join our team at Independent Resourcing Consultancy Ltd. This role involves conducting file reviews for retail investment and pension advice, with a focus on Defined Benefit Transfer cases.

About the Role

You will work closely with our compliance team to ensure that our clients receive excellent advice through meticulous reviews. Your responsibilities will include:

  • Reviewing pension and investment advice files to identify any potential issues.
  • Providing constructive feedback to advisers/paraplanners to improve their performance.
  • Monitoring rework and signing off on completed cases.
  • Driving client satisfaction through high-quality advice reviews.
  • Managing your diary effectively and prioritizing reviews, particularly Pre-sale cases.
  • Identifying common errors and contributing to root cause analysis.
  • Participating in the development of our file review framework.
  • Potential involvement in Training & Competence activities, including coaching and annual competence assessments.

What We Offer

We offer a competitive salary package, including an estimated salary range of £45,000 - £65,000 per annum, depending on experience. Additionally, we provide opportunities for professional growth and development within our organization.

Apply Now

To apply for this exciting opportunity, please submit your application through our website.



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