Compliance Advice Quality Officer
Remote / Home Based
Upto £45,000 plus benefits
Our client is looking to recruit an experiened individual to join their expanding compliance team, to undertake file reviews to ensure that their business is providing the highest standards of advice to their clients, in line with company and FCA regulations. Engaging with Financial Planners, Paraplanners and Administrators, you'll support the development of advice quality, maintaining the companies high standards and reputation.
Duties will include:
- Ensuring FCA and compliance regulations are being adhered to.
- Pre approval and post sale file checking.
- Communicate review outcomes effectively.
- Ensure completion of remedial actions via follow up reviews.
- Report all breaches promptly and accurately.
- Guide advisers on procedures and updates.
- Share knowledge and industry updates with Advisers.
- Support T&C.
- Provide technical guidance to Advisers, Paraplanners and Administrators.
Requirements:
- Proven experience of performing a similar role within an IFA environment.
- QCF Level 4 qualified (or close to achieving).
Apply:
Please send your CV immediately to or contact Stuart on 0 7 7 4 7 7 8 2 9 3 4.