Compliance Officer - Monitoring Regulated Financial Advisers

Posted 1 week ago by Goldstone Laine

Basic salary £30k to £32k.

Business Quality Reviewer

We have an exciting role for a Business Quality Reviewer to join our Compliance team at the Birmingham office (includes travel to other offices when required). The purpose of this role is to manage and assess file reviews submitted by the Company’s Independent Financial Advisers in line with the Company’s Training and Competency (T&C) requirements. The role will ensure that the Company’s extremely high quality of compliance and risk management is maintained through the quality of the Company’s client files.

Key responsibilities

To ensure all required Know Your Client (KYC) information and client documentation is collected and stored in line with the Company’s regulatory requirements
To interact with internal stakeholders, providing regular updates with regards to progress and timelines for service delivery
To review all files within the Company’s agreed level of service on file turnaround times
To maintain policy and process knowledge to ensure consistent competency and Key Performance Indicators are met
To monitor own performance to ensure personal targets and standards are met
To maintain personal compliance of operational and regulatory risk
To escalate areas of concern to the Group Director Compliance and Risk and identify trends and emerging risk to the business
To assist the Compliance team with department projects and thematic reviews as required.
Experience & Core skills
Sound knowledge of UK Financial Services Industry and retail products (including Corporate Business)
Experience gained with an IFA firm in a financial services customer services or operational role is essential
Qualified to Level 4 (desirable)
Working knowledge of MS Office - including Excel, Work, Outlook and Powerpoint
Proven experience of working with multiple systems and databases
Experience of working successfully in a target driven, operational environment

Application question

Experienced in a Compliance role supporting regulated Financial Advisers?

Reference: 38901006

Bank or payment details should never be provided when applying for a job. For information on how to stay safe in your job search, visit SAFERjobs.

Report this job