Compliance File Checker
Benefits & Competitive salary
We are recruiting for a top 20 IFA firm with multipe UK offices. They are seeking an additional compliance file checker, to review current and past sales advice and recommendations, along with a variety of other general compliance duties.
Other duties include
Carry out detailed review of the advice given and services being provided to customer and review the suitability or otherwise of the personal recommendation
To work on aspects of the compliance area that will be required by compliance team.
Update and share new changes and regulations with other departments.
Highlight any concerns or breaches that have been spotted and flagged up. Also escalate any misconduct to the Manager.
Give feedback and action training or action plans for individuals following and advice quality reviews.
- Chartered Insurance Institute (CII) Certificate in Financial Planning or Equivalent (essential)
- ICA Certificate in Compliance or other compliance qualification desirable
Working knowledge of COBS/ICOB/MCOB disclosure and suitability rules.
Awareness of the rules and regulations relating to Financial Crime Prevention
Knowledge of financial service products and their inherent risks
Please apply on the Dynamite recruitment website
Dynamite Recruitment Solutions Ltd is acting as an Employment Agency in relation to this vacancy.