Technical Case Reviewer (IFA Network) Award winning UK wide Network with over 30 staff who look after over 100 IFA firms are recruiting in to the case review team.
The firm is made up of the board of directors, case review, audit, training and competency and support.
Responsibilities Include: 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 necessaryManage own case load to ensure all outstanding action / information is followed up, completed and resolved appropriately and within Company timescales, liaising with Advisers / T&C Supervisors as required.
Highlight any Breaches, inconsistencies or trends identified to the Head of Compliance and /or Compliance Director as appropriate.
Deal with telephone queries from Advisers / T&C Supervisors building positive relationships, promoting the role of the DBM and negotiating mutually acceptable solutions to potential conflicts arising.
Ensure up to date knowledge is maintained and applied in respect of departmental policies, procedures and standards, and actively contribute to their development.
To fully participate in and adhere to any performance management process the Company has in place, in a professional and constructive manner.
Carry out additional reviews to assist with Appeals, Complaints and Investigations when required. Maintain an individual training file and ensure all relevant CPD is recorded.
Essential Qualifications:- Qualified to Diploma Level Cemap or Maq (CF6) Desirable Qualifications:- Qualifications for specialist areas eg G60/AF3,AF7 ER1, CF8
- case review