My client are a established and successful distributor of Financial Advice and the Largest in the UK.
We currently have an exciting opportunity for a Business Assurance Assessor to join their Compliance Team on a home based basis.
We are looking for the Business Assurance Assessor to provide an independent oversight of the effective operation of the core compliance and regulatory risk control activities undertaken.
A competitive salary with unrivaled benefits can be offered with career progression prospects available and professional exam support. All additional facilities to enable you to work from home is also provided, plus a thorough training plan to ensure competency.
Scoping, planning, delivering and reporting of Business Assurance Controls Checks and Business Assurance Reviews undertaken.
Provide appropriate assurance oversight
Updating internal systems to record progress and outcomes of reviews undertaken
Demonstrate good customer outcomes.
Contribute to building a great environment to work in.
Operate efficiently – treat the business as if it’s your own.
Own decisions and tasks – decide and deliver.
Build on own knowledge by self-learning, share knowledge and best practice with colleagues.
· Diploma Level 4 Qualified
· G60/AF3/IFS Pension Transfers
· A broad understanding of the Pensions and Investment markets in terms of Advice, Providers/lenders, platforms, products and the way in which advisers within a network are remunerated is advantageous.
· A broad knowledge and understanding of Financial Services regulation and the Retail Distribution Review is advantageous.
· A good understanding of the approach in relation to core requirements for an AR firm/Adviser achieving competence, supervision, data protection, anti-money laundering requirements, Financial Crime Policy, data security and Treating Customers Fairly concepts.
· A broad understanding of how an advice/ AR businesses operate.
· A commitment to TCF and a good understanding of TCF principles and the activities expected of its AR Principals.
· A broad understanding of the use and benefits of technology within a financial services practice.
If keen to discuss, please send me your most up to date cv to email@example.com or contact me on 0117 9304820. Or if this role isnt for you but you may know someone that you can recommend then we work on a refer a friend scheme where we will reward you £300 of high street vouchers as a thankyou for any placed candidate.
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