Compliance Office

A long established, well respected IFA Compliance organisation are keen to appoint a Diploma qualified IFA File reviewer.

The role is home based with occupational IFA visits required.

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 group on areas that require further improvement and development in the advice team
• Discuss possible process improvements with management and senior management
• Attend round-table meetings with report writers to discuss themes identified in reviews and suggest areas for improvement

The role is available immediately and will pay c £44- £48k with laptop and fuel expenses. Level 4 qualification is essential. Interviews remotely followed by a meeting with the Directors.