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Main responsibilities: File checking for all business types pre and post-sale All investment types will be covered, although training will be provided on more complex investment areas Assisting with daily and monthly reporting of compliance stats Dealing with adviser queries by email and phone Assisting with compliance investigations The candidate should hold Level 4 Diploma in Financial Planning, or have completed a minimum of four of the CII R0 exams or equivalent. Further support will be provided for any future examinations the candidate wishes to undertake which are relevant to their role. There is also potential for progression into an employed adviser role in the future.