File Reviewer - Horsforth, United Kingdom - Tenet

Tenet

Verified Company

Horsforth, United Kingdom

3 weeks ago

Posted by:

Tom O´Connor

beBee Recruiter

Description

File Reviewer/Regulatory Consultant

Hybrid office/home working with remote options available.

Salary:
£40,000 to £45,000 per annum.

About us:
Tenet Compliance Services supports a wide range of Directly Authorised firms with a variety of compliance requirements.

Due to continued growth, we are adding to our team, and are looking for File Reviewers or potentially a combined role of file reviewerand regulatory consultant.

Hybrid working and home working options are available, and the role will be available to start imminently, following a screening and selection process.

The role:

As an Investment File Reviewer, you will be responsible for completing file reviews on investment cases created by directly authorised firms.

You will be ensuring Advisers are adhering to the quality standards of the regulator and operating within all relevant regulatory controls and you will be providing insight and guidance to Advisers if remedial actions are required.

There will also be opportunitiesto progress into Regulatory Consultant duties if this is of interest.

Key responsibilities:
Complete file reviews in line with the highest quality standards.
Ensure SLAs are adhered to, and target volumes of files reviewed are met.
Provide guidance to enable remedial items to be completed.
Provide data for accurate MI Reporting.
Update systems and internal databases with details of cases managed.
Experienced File Reviewer.
Level 4 qualified.
We would like to see pension transfer experience, though this is not necessarily required.
Comfortable working with large, detailed, case files.
Accurate, probing, investigative and analytical.
Ability to manage own workload prioritise effectively.