Compliance Officer/File Checker
Liverpool Benefits : Holiday, Pension, Career progression and competitive salary Salary : £30,000 We have an exceptional opportunity to work in a very reputable Financial service practice. This is a great opportunity for someone who wants to start a career in the Financial service industry or someone who is looking for the next role with progression. You will be working in a team file checking and supporting the team with compliance.
Reviewing advice, in particular (but not exclusively) on pension transfers and other pensions with safeguarded benefits: Accurately assess the suitability of advice Assess the accuracy and adequacy of the file documentation, ensuring it is completed in line with the firm's requirements Assessing and grading cases Providing clear, accurate and constructive feedback to the adviser Discussing cases with advisers/compliance colleagues Ensuring completion by the adviser of any remedial action by the adviser within acceptable timeframes Identifying any inconsistencies/errors and escalate them accordingly to the Compliance Manager Complete all file checks within specified timeframes Maintaining knowledge of the compliance procedures and relevant Regulatory Rules. Maintaining the technical knowledge necessary to assess the suitability of advice across the range of products and services offered by the business. Ability to identify and report potential cases of financial crime Other ad hoc duties as required Skills: Equity release exam would be an advantage 1 Years' Experience Level 4 diploma qualified Due to the amount of response we receive, unfortunately we are not able to give feedback to all individuals, if you have not heard back within 7 days please assume that you have not been successful for the role