Compliance File Reviewer - Manchester, United Kingdom - MERJE Ltd

MERJE Ltd

Verified Company

Manchester, United Kingdom

2 weeks ago

Posted by:

Tom O´Connor

beBee Recruiter

Description

£44,000 + Benefits
My client operating in the Wealth Management space is looking for a File Reviewer to join the team.

The role will involve:

To check the suitability of advice provided by Group Advisers to a high standard in line with the Regulator's expectations.
Construct a clear and professional report on each file identifying whether the Financial Planner has met the regulatory and internal compliance requirements.
Provide both written and verbal feedback to Financial Planners regarding the findings of the review.
Build rapport with the Financial Planner within the Group to ensure that good relationships are maintained across the Group.
Assist with planning and delivering File Review training to Financial Planners and Paraplanners within the Group, as required.

Key Requirements:

Diploma in Financial Planning (or equivalent)
Minimum of 3 years financial services industry experience, preferably in a compliance monitoring/file review/technical specialist role
A range of qualifications in 'specialist' areas e.g. Occupational Pension Transfers, Long Term Care, Trusts etc