A fully independent & Chartered Financial Planning organisation with a national presence are seeking to recruit a File Reviewer/Business Quality Controller to join their growing compliance function. The firm are well known and have an excellent reputation, they have won multiple awards and have an excellent working environment which results in good staff retention.
They are now seeking to recruit a file reviewer to join their team, the role will be based from home. The role will be responsible for:
- Review pre & post advice files
- Ensure that the advice provided meets business and regulatory requirements
- Identify key areas for development in the advice teams from file reviews and recommend training to address any knowledge and skills shortfalls
- Provide additional technical and regulatory support to advice teams where needed
- Develop and maintain a solid working knowledge of all relevant product ranges, service providers, investment platforms and FCA Principles and Rules.
The client is looking for a Diploma Level 4 qualified individual with previous experience within a similar role. You must have -
- Good working knowledge of FCA Principles and conduct of business rules
- Good understanding of the Financial Planning process
- Strong interpersonal skills, both written and oral communication
In return my client is offering a basic salary to £45,000 + bonus and good company benefits. They are a supportive employer; you will be opportunities to progress and full support for market exams.