Compliance Monitoring Officer

  • Location

    Glasgow

  • Sector:

    Financial Planning

  • Job type:

    Permanent

  • Salary:

    £38000 - £45000 per annum + plus Bonus plus Benefits

  • Contact:

    David Everingham

  • Contact email:

    deveringham@mbfitzgerald.co.uk

  • Job ref:

    BBBH3734_1657182659

  • Published:

    about 1 month ago

  • Expiry date:

    2022-08-06

  • Consultant:

    ConsultantDrop

Compliance Monitoring Officer - Advice Quality - 100% flexible Home Based working available if desired - to £45,000 plus Benefits

MBF have recently picked up an excellent new vacancy which can be based anywhere in the UK, either 100% from home or from your local office (or a mx of both). Our client, a National Wealth & Investment Management Organisation, are currently looking to hire an Advice Quality Officer to their busy team.

The role:

  • The purpose of the Advice Quality Officer is to conduct pre-approval and post sale File Reviews checks on advice given by their Financial Planners.
  • Business varies from Investments, Pensions, IHT, Protection etc.
  • You will also have to provide feedback to Advisors and Paraplanners based on your findings, working closely with them to resolve any issues

Requirements:

  • Candidates MUST be level 4 Diploma qualified as a minimum - those with advanced qualifications such as AF3 or AF7 would have an advantage
  • Previous experience of working within a Financial Planning environment is ESSENTIAL
  • Alongside experienced File Reviewers, the company would invite applications from candidates with different backgrounds; for example Paraplanners, Financial Advisors etc looking to use their experience in a different way

On offer

  • Generous salary of up to £45,000 plus company benefits and bonus
  • Completely flexible working - work from home, the local office or a mix of both
  • Flexible working hours
  • Study support and progression opportunities