Compliance/File Checker

Reference:	1832
Vacancy:	Permanent opportunity
Location:	Gloucestershire
Salary:	£30,000
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The company

Our client a leading wealth management firm based in the South West is looking to recruit within their compliance/business assurance department.

The role

You will be checking a range of business submitted by IFAs, providing feedback to the management team and IFAs on changes required to cases. Contributing to the identification training needs or product amendments and providing technical support to the IFAs in relation to the correct documentation for all case types. You’ll also be responsible for ensuring the output of work is in line with company values and FSA regulations. Day to day you’ll be involved with the following:

*Keeping clients suitably informed within appropriate timescales

*Giving suitable advice which takes account customers circumstances

*Carrying out all business with integrity and professionalism

*Advise management of any issues raised from file checking to enable feedback to the IFA.

*To act as a point of contact for enquiries from IFAs, including providing technical support through the Helpline when required.

Candidate requirements

Successful candidates will possess previous experience in a compliance/file checking role. Alternatively you may be a Financial Adviser currently or perhaps working in a support role within an IFA perhaps as a paraplanner or similar. We are looking for people with a minimum of the Financial Planning Certificate and most probably someone making good progress towards the Diploma if they haven’t got this already. You’ll have good attention to detail, a methodical and organised approach to procedures and the ability to work under pressure yet still meet deadlines.