Compliance - Business Quality Reviewer

  • Location

    Birmingham, West Midlands

  • Sector:

    Financial Planning

  • Job type:

    Permanent

  • Salary:

    £30000 - £35000 per annum + Bonus and Benefits, negotiable

  • Contact:

    David Everingham

  • Contact email:

    deveringham@mbfitzgerald.co.uk

  • Job ref:

    BBBH2477_1591871254

  • Published:

    11 months ago

  • Expiry date:

    2020-07-11

  • Consultant:

    #

Compliance - Business Quality Reviewer - Birmingham - National IFA Organisation - Company are actively recruiting for this role NOW - Salary around £33,000 plus Benefits

MB Fitzgerald Recruitment are currently working with a National firm of Independent Financial Advisers who are looking for a Business Quality Manager to join their team in Birmingham.

The role is to manage and assess file reviews submitted by the IFA's and ensure that they meet the Company's T&C requirements. The candidate will make sure that the quality of the Company's client files keeps up with their extremely high standards of compliance and risk management.

We are looking for an exxperienced financial services professional who has worked in an IFA environment in a compliance, customer services or operational role - this is essential. Candidates who have obtained the level 4 Diploma qualification will be preferred and you must have a solid all round knowledge of financial services.

Responsibilities

  • To ensure all required Know Your Client (KYC) information and client documentation is collected and stored in line with the Company's regulatory requirements
  • To interact with internal stakeholders, providing regular updates with regards to progress and timelines for service delivery
  • To review all files within the Company's agreed level of service on file turnaround times
  • To maintain policy and process knowledge to ensure consistent competency and Key Performance Indicators are met
  • To monitor own performance to ensure personal targets and standards are met
  • To maintain personal compliance of operational and regulatory risk
  • To escalate areas of concern to the Group Director Compliance and Risk and identify trends and emerging risk to the business
  • To assist the Compliance team with department projects and thematic reviews as required.