Compliance file review monitor

We are looking for an experienced suitability reviewer to join an internal compliance team.

The Opportunity:

This well regarding financial planning business provides regulated financial and investment advice to potential clients and all existing clients in the UK and across Europe. As a Business Assurance Analyst, you will review and assess suitability reports related to money purchase pensions, ISAs, General Investment Accounts, investment bonds (onshore and offshore) and trusts to ensure that all financial and investment advice recommendations are in our clients' best interests and meet internal standards.

Typical responsibilities:

• Review suitability reports to ensure that any financial and investment advice given to potential and existing clients meet the overarching suitability requirements of the Financial Conduct Authority
• Proactively contact internal clients and seek further information and any necessary clarifications
• Provide feedback to report writers and respond to any follow-up enquiries
• Provide feedback to the Training Program Manager within the PCA group on areas that require further improvement and development in the advice team
• Discuss possible process improvements with management and senior management
• Attend roundtable meetings with report writers to discuss themes identified in reviews and suggest areas for improvement

Qualifications required:

• University graduate or equivalent combination of education/experience
• Level 4 qualified - Diploma in Financial Planning/Regulated Financial Planning
• Level 6/Chartered status would be an advantage, as would AF3/G60 PTS qualification
• Very strong understanding of financial planning principles with a specialism in pension planning
• Very strong understanding of the FCA's COBS requirements for suitability
• Experience in file reviewing personal recommendations for retail clients
• Explain complex issues in writing and face-to-face
• Dynamic people skills with the ability to provide an efficient, professional and courteous service to internal clients

This role offers the chance to get involved on the compliance side of a large financial planning institution and to grow your career further. Some flexibility to work from home provided.