Compliance and Underwriting Assistant
3 weeks ago
We are seeking an experienced Authorisations and Onboarding Specialist to join our team. This role plays a critical part in our company's mission to deliver excellent customer service and achieve positive outcomes for our clients.
As an Authorisations and Onboarding Specialist, you will be responsible for processing, underwriting, and referencing firm/adviser applications for network onboarding. You will also handle day-to-day enquiries and provide ongoing support for advisers and AR firms.
Key Responsibilities:- Application Processing: Process and underwrite firm/adviser applications for network onboarding.
- Customer Support: Provide exceptional customer service to advisers and AR firms through email and telephone.
- Pipeline Maintenance: Maintain and update the pipeline throughout the 'onboarding' process.
- Communication: Liaise with advisers/lenders/providers and provide regular updates to ensure a positive customer culture.
- Regulatory Compliance: Ensure all procedures and standards are followed as set out in team procedures and that all customers are treated fairly at all times.
- Database Management: Upload all authorisation firm and adviser files to the GAS database.
- Reporting: Assist the line manager and NQM with weekly and monthly management reports.
- Record Keeping: Keep an accurate CPD record and complete the required annual assessments.
- Policy Compliance: Ensure all tasks undertaken follow the company's policies and procedures.
- Teamwork: Work collaboratively as part of a team to achieve goals and objectives.
- Professional Development: Complete Key Objectives detailed within the annual appraisals and reviewed in 121s.
- CeMAP qualification.
- A good standard of general education.
- Previous experience in customer services/customer facing role.
- Basic knowledge of compliance.
- Knowledge of Financial Services.
- An understanding of FCA regulatory functions.
- Financial industry experience and an understanding of the network function.
- Knowledge of MI systems.
- Excellent communication and interpersonal skills.
- Strong analytical and problem-solving skills.
- Able to work accurately and efficiently under pressure.
- High level of organisational skills.
- Ability to work independently and as part of a team.
The estimated salary for this position is £26,000 - £31,000 per annum, depending on experience.
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