IFA Business Quality Reviewer (Compliance), Birmingham
- Contract Type
Our client, a major and fast-expanding Financial Advice organisation, have an exciting role for a Business Quality Reviewer to join their Compliance team at either the Reading or Birmingham office (includes travel to other offices when required).
The purpose of this role is to manage and assess file reviews submitted by the Company's Independent Financial Advisers in line with the Company's Training and Competency (T&C) requirements.
The role holder will ensure that the Company's extremely high quality of compliance and risk management is maintained through the quality of the Company's client files. You will be Diploma Level 4 qualified (or close) and have experience in a similar IFA support role.
To ensure all required Know Your Client (KYC) information and client documentation is collected and stored in line with the Company's regulatory requirements
To interact with internal stakeholders, providing regular updates with regards to progress and timelines for service delivery
To review all files within the Company's agreed level of service on file turnaround times
To assist the Compliance team with department projects and thematic reviews as required.
Experience & Core skills
Sound knowledge of UK Financial Services Industry and retail products (including Corporate Business)
Experience gained with an IFA firm in a financial services customer services or operational role is essential
Qualified to Level 4 (or close)
Working knowledge of MS Office - including Excel, Work, Outlook and Powerpoint Proven experience of working with multiple systems and databases Experience of working successfully in a target driven, operational environment