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| Job Location | Southwater |
| Education | Not Mentioned |
| Salary | £27,000 - £34,000 per annum |
| Industry | Not Mentioned |
| Functional Area | Not Mentioned |
| Job Type | Permanent, full-time |
I am working on a IFA compliance file checking role that requires somebody who has ideally carried file checks on Pension, Investment and protection suitability reports. Some of the duties are listed below:To review client files to confirm suitability and good consumer outcomes and adherence to regulatory and Company requirements, and identify and require remedial action where necessary.To conduct Induction, Monitoring, Investigation, Remedial and feedback using pre-prepared check sheets and any special instructions or directions given by the the Head of Compliance.To identify any Breaches or Misconduct by advisors and individuals and report any training/compliance failures to the Head of ComplianceTo provide feedback and prepare action plans for firms and individuals following any audit and to complete a risk evaluation of each individual within the firm and an overall risk assessment of the firm based upon the findings of any audit.To provide feedback to other departments within The Company and to take remedial action to ensure that satisfactory relationships are maintained between the Company and the individual.To undertake or lead project work where required by the Head of ComplianceQualifications / requirements.Level 4 Diploma ( working towards )Good understanding of Pensions & InvestmentsFCA knowledge ( rules & regulations)Previous experience in a compliance file checking roleGood understanding of Pensions & Investments.HoursThis is a full time office based role 35 hours per week Monday to Friday. Parking on site. Required skills
Keyskills :
Audit Checks Compliance Pensions Suitability