Advice Quality Assurance Expert
5 days ago
We are seeking a Compliance Monitoring Officer Hybrid to join our team at IDEX Consulting.
In this role, you will be responsible for conducting advice quality audits and providing feedback to Independent Financial Advisors (IFAs).
As a key member of our team, you will assist in dealing with day-to-day advice and regulatory queries from other departments, undertaking research to provide informed responses where necessary.
You will also provide new business concessions, ensure accurate and timely recording, and assist with past-business auditing in relation to FCA Thematic Reviews.
The ideal candidate will have a Diploma in Financial Planning or higher and experience in an IFA environment.
They will possess excellent communication skills, attention to detail, and the ability to work independently with minimal supervision.
This is a fantastic opportunity for a skilled professional looking to advance their career in compliance monitoring.
Key Responsibilities:- Conduct advice quality audits on a pre-submission and post-submission basis
- Provide constructive feedback to IFAs following advice quality assessment
- Deal with day-to-day advice and regulatory queries from other departments
- Undertake research to provide informed responses where necessary
- Support Risk and T&C in the periodic assessment of an adviser's eligibility for CAS
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