Compliance Monitoring Officer

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Full time
Location: Bromsgrove
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Job offered by: Idex Consulting
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Category:
My client is currently looking for experienced file reviewers, or paraplanners who are looking for a change, to conduct advice quality audits both on a pre-submission and post-submission basis. Responsibilities:

The main purpose of the role is to provide a file review service Delivery of informative and constructive feedback to IFAs following advice quality assessment Dealing with day-to-day advice and regulatory queries from other departments, undertaking research, where necessary, in order to provide informed responses Providing new business concessions, where necessary ensuring accurate and timely recording Assistance with past-business auditing in relation to FCA Thematic Reviews, as directed by Risk and T&C Supporting Risk and T&C in the periodic assessment of an adviser's eligibility for CAS Providing assistance to the Advice Support Unit, as and when required Understanding of the Firm's Advice Guidance in order to maintain and develop knowledge of the firm's approach to providing suitable advice Maintaining a good level of knowledge and technical understanding of all financial planning concepts and regulatory focuses through the completion and recording of annual CPD Adhering to all requirements of the applicable T&C Scheme, demonstrating the ability to support Customer Care functions where necessary Assistance with any departmental function as required Experience, Knowledge and Qualifications:

Diploma in Financial Planning as a minimum qualification requirement Willingness to take further qualifications, as relevant to your role Demonstration of knowledge and experience in personal financial planning Experience in an IFA environment Good communication skills, with the ability to provide constructive feedback A high standard of written and numerical skills An ability to demonstrate strong report-writing skills A high level of accuracy and attention to detail Aptitude in Microsoft Office. Knowledge of Xplan preferred but not essential Ability to work with minimal supervision, understanding the importance of meeting deadlines To work well within a team environment and to support peers where required

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