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File Review/Compliance Officer

  • Bath
  • Permanent
  • £45,000 - £50,000 + Bonus & Benefits

Job details.

Mbf are working with a well-established and leading independent financial planning business to recruit a Compliance Officer/File Review Officer. Our client is committed to delivering exceptional service and tailored financial solutions to clients across the country, they are a leading name in the market who have grown considerably over the past few years.

Position Overview:

Our client is seeking to recruit a diligent and experienced File Review/Compliance Officer to join their dynamic team. In this role, you will play a crucial part in ensuring the highest standards of compliance by reviewing pre and post advice files, providing constructive feedback, and offering support to advice teams. Your role will also involve assisting with business complaint investigations, addressing business issues, and liaising with staff to facilitate timely resolutions.

Responsibilities:

  • File Review: Conduct thorough reviews of pre and post advice files in accordance with the firm's T&C scheme, ensuring compliance with regulatory requirements and internal policies.
  • Feedback and Support: Provide constructive feedback to advice teams based on file reviews. Offer support and guidance to facilitate quick and effective remedial action when necessary.
  • Complaint Investigations: Assist in investigating business complaints, working closely with relevant stakeholders to address issues promptly and in compliance with industry regulations.
  • Technical and Regulatory Support: Offer technical and regulatory support to advice teams as needed, keeping abreast of industry changes and communicating relevant updates to ensure compliance.

Qualifications:

  • Previous experience in a similar role within the financial services sector.
  • Strong understanding of regulatory requirements and industry best practices.
  • Excellent communication and interpersonal skills.
  • Ability to provide constructive feedback and support to colleagues.
  • Detail-oriented with a commitment to maintaining high standards of compliance.

If you are a dedicated professional with a passion for compliance and a desire to contribute to the success of a leading financial planning business this could be the role for you. Our client is offering a competitive basic salary to £50,000 + bonus and excellent company benefits including: 25 days holiday + bank holidays, Group Life Assurance, Pension, PMI, Income Protection etc.

They also offering hybrid working split between office & home (2 days in the office and 3 days working from home).

Sector:

  1. Financial Services
  2. Financial Planning

Thomas Williams

Director - Financial Services

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