Ifa File Compliance Reviewer
2 weeks ago
File / Compliance Reviewer opportunity on a part-time basis over three days per week.
The responsibilities of this role will deliver compliance checking for cases being submitted by independent financial advisers.
The practice provides independent financial advice offering solutions in retirement, pensions, investment and wealth planning.
**Role requirements**
Accurately review pre-post advice file checks on advice cases
Identify corrective action and log errors
Ensure that industry regulations and internal policies are met
Maintain accurate client records
Raise any errors or inaccuracies with relevant adviser or colleagues.
Backgrounds welcome in IFA administration, paraplanning, compliance or quality review or ex-advisers seeking a switch to a non-advice focused position
Working knowledge of pensions and investments
High attention to detail and accuracy
An understanding of FCA regulation
You will be analytical, insightful & be an effective communicator with the ability to deal with people at all levels
**Package**
Salary £25,000 - £30,000 pro rata
Pension
Life Cover
Bonus
Free Parking
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