Agency Appointments Analyst - Cardiff, United Kingdom - LegalAndGeneral

Description

Job Description

We are hiring an Agency Appointments Analyst to join our team.

The purpose of the role is to be responsible for reviewing all directly authorised firms and directors, for all Intermediary Sales Channels by conducting annual due diligence checks and review of existing screening data held, whilst adhering to FCA regulations and internal compliance and financial crime control standards .

What you'll be doing

Conducting necessary onboarding checks for Appointed Representatives and Registered Advisers to review suitability of granting an agency and whether an Intermediary AR or RI should be on-boarded with Legal & General In line with company standards.

Conducting due diligence checks from existing agency data held against credit sources and public domains used to review and verify Intermediary data is still valid and correct to ensure Intermediary's data meets minimum financial control requirements.

Ensuring accurate entry of data into Agency systems/records & databases. Identify and escalate any financial crime concerns and risks that requires further assistance from Management, Commercial Division or Financial Crime specialist to determine whether application should proceed.

Building and maintaining a good level of technical knowledge that enables an effective contribution to risk and compliance activities including full use of all tools in relation to RPA, bulk tools and regulatory permissions to support completion of work.

Performing to agreed SLA standards and business objectives in respect of quality, quantity and timeliness. Fully responsible for all tasks assigned to enable business to be written and serviced, by managing the various agency appointment set up requests and the contractual relationships in strict accordance with the FCA critical guidelines.

Building and maintaining a good working relationship with customers and key stakeholders within L&G, developing and maintaining relationships with regular reviews and catch ups, seeking feedback from source to maximise and improve the customer experience

Taking responsibility to ensure that the needs of our customers internally and externally are met and are in line with Legal and General's Customer Experience and Consumer Duty Commitments.