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Compliance File Checker

ARC
Job LocationLeeds
EducationNot Mentioned
Salary32,000 - 35,000 per annum
IndustryNot Mentioned
Functional AreaNot Mentioned
Job TypePermanent , full-time Work from home

Job Description

  • Job Title/Location: Compliance File Checker, WFH
  • Salary: c.£35,000
  • WFH: Can be based anywhere in the UK, occasional office presence required
  • Requirements: Must be Level 4 Qualified
  • Role Snapshot: Main focus is undertaking client file audits covering all business types inc. defined benefit pension transfers, pension switches and esoteric product lines
The Company/Dept: Our client is a management consultancy specialising in financial services compliance and regulation. Providing consultancy services to over 100 small to medium sized firms on a regular basis, their clients are IFAs, generalinsurance brokers and mortgage advisers regulated by the FSA.The Role: The Compliance File Checker post, as mentioned above, largely focuses on client file audits for a wide range of business types/products. You will be supervised by a Senior Compliance Consultant, Technical Manager or Director whowill routinely quality check file reviews/audits. As mentioned above, the focus is on compliance file checking, but will also include:
  • Adhering to core company procedures and standards when dealing with all customer accounts
  • Producing consistently high quality, thorough and technically accurate file audits. File audits will cover all business types and may include high risk areas such as defined benefit pension transfers, pension switches and esoteric product lines. File auditsmay also form part of external FCA reviews such as Section 166 (Skilled Person)
  • Have input to and develop file auditing standards
  • Completing accurate time keeping records for all client accounts using Outlook and Dynamics
  • Recording and storing all documentation in accordance with company standards using SharePoint
  • Occasionally input and author articles to the company newsletter
Experience/Skills Required: Our client is looking for someone who is Level 4 Qualified. Ideally you will have working knowledge of COBS, ICOBS and MCOB, but this is not essential.Additional Information: The salary is c.£35,000. Whilst the role is predominantly WFH, there might be the occasional requirement to visit the office or indeed client offices, but this is not a regular event. There may also be flexibilityrequired in terms of hours, whilst it is largely a 9am - 5pm role, sometimes this needs to be adjusted to cater for the needs of the business and customers.The Compliance File Checker position is one of a number of vacancies we are handling. ARC is a specialist within Financial Services recruitment and the Consultant handling this role has over 25 years of experience inthis field. Areas of expertise include IFA Administration, compliance, customer services, pensions admin/technical roles, mortgage administration, paraplanners, marketing, underwriters and IT related roles. Check the website and feel free to call Darren Snellat any time.

Keyskills :
ComplianceFinancial AdviceFinancial PlanningFinancial ServicesFile Review

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