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File Reviewer

Posted 5 January by Broadgate Search Ltd Ended

My Financial Services Client are currently recruiting for a File Reviewer

Some Duties & Responsibilities

  • Check Advisers’ client files of core products including Protection, Mortgage, Savings, Investment, Personal Pension and General Insurance business sales against Regulatory and Company standards in respect of documentation and suitability of advice, ensuring they are reviewed thoroughly, fairly, consistently and promptly
  • Check Advisers’ client files for specialist area products including Equity Release, Long Term Care and Specialist Pension (DB) business sales against Regulatory and Company standards in respect of documentation and suitability of advice, ensuring they are reviewed thoroughly, fairly, consistently and promptly (where the relevant qualification is held)
  • Identify risk issues on cases reviewed and recommend corrective actions, applying the principles of Treating Customers Fairly
  • Prepare feedback reports to Advisers / T&C Supervisors highlighting development needs and action points and requesting further information and correct action as necessary

Essential Qualifications:-

  • Qualified to Diploma Level
  • Cemap or Maq (CF6)

Desirable Qualifications:-

Qualifications for specialist areas eg G60/AF3, ER1, CF8

If you would like to understand more about this role then please contact Matt Carter

Required skills

  • File Review

Reference: 34152774

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