Compliance file checker - united kingdom, tamworth, staffordshire
our client is a successful ifa firm with an exciting opportunity for a part-time compliance file checker to join their close-knit team.
compliance file checker
tamworth b78 3pq
part time, permanent
£25,000 – 30,000 per annum, pro rata
remote/hybrid working options considered
please note: applicants must be eligible to work in the uk
since their launch in 2009, our client has become one of the uk’s leading independent financial advisory firms. they focus on treating clients as individuals and working to understand their needs and objectives to provide to highest standards of financial advice. this is an amazing opportunity to join a highly regarded company with a friendly, ethical, and people-focused approach to business.
about the role:
the duties of this role will be to deliver compliance quality review for cases being submitted by financial advisers.
your responsibilities will include:
accurately review pre- and post-advice file checks
identify corrective action and log errors
ensure that industry regulations and internal policies are met
maintain accurate client records
raise any errors or inaccuracies with relevant adviser or colleagues
about you:
as a successful candidate you will have:
an administration, paraplanning, compliance or quality review background in financial services
an understanding of pensions and investments
high attention to detail and accuracy
an understanding of fca regulation
you will be analytical, insightful & be an effective communicator with an ability to deal with people at all levels
company benefits:
a competitive salary of £25,000 - £30,000 pro rata
23 days holiday + bank holidays
free parking
auto enrolment pension scheme with royal london
death in service benefit following successful probationary period
a friendly and supportive office environment
how to apply for the role:
if you have the skills and experience required for this position, click “apply” today and check your inbox for an email providing more information on how to tailor your application and provide a cover letter or any supporting documents.
you must be eligible to work in the uk. no agencies please.
other suitable skills and experience includes finance, accounts assistant, accountant, accountancy, accounting, account manager, finance manager, management account, finance assistant, accounts
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