Our Client, a multi-award winning financial services network, is currently seeking a Compliance Professional to join on a 12 month fixed term contract due to an increase in Pensions Liability Projects.
As a compliance file checker you will be remotely reviewing the suitability and quality of advice given to customers by Consultants representing the business and to ensure that any identified areas of concern or development are appropriately addressed.
- To accurately assess the suitability of advice given by Consultants against the standards set by the business.
- To assess the clarity, accuracy and adequacy of Consultant documentation and record keeping against the standards set by the business.
- To issue clear and accurate feedback confirming any required remedial actions necessary to avoid negative consumer outcomes.
- To ensure that any required remedial actions are completed by Consultants within acceptable timescales.
- To maintain knowledge of the compliance procedures and relevant Regulatory Rules.
- To maintain the technical knowledge necessary to assess the suitability of advice provided by consultants across the range of products and services offered by the business.
- Ability to identify and report potential cases of financial crime
- To maintain records to the standards necessary to demonstrate Consultant and departmental performance
- To effectively communicate with and deal with queries raised by Supervisors.
- To meet the departmental standards with regard to service standards and productivity.
- To hold QCA level 4 qualification or able to demonstrate relevant experience
- equivalent to level 4
- Experience working within financial services.
- Experience working within a Compliance role, with experience of dealing with the FCA
Synonyms: *File Checker, Compliance Adviser, Compliance Executive, Compliance Associate, Risk