Business Monitoring Officer Home Based

Our client is a well-respected and growing Wealth Management firm.

Due to continued growth and success the firm is looking to recruiter a Business Monitoring Officer to check the suitability of advice provided by Advisers to ensure a high standard in line with the Regulator's expectations.

In this role you will assist with the education and training of new and existing Financial Planners to ensure they have a thorough understanding of the compliance standards that need to be achieved and maintained.

Responsibilities:

• To undertake client file reviews in line with company procedures covering all aspects of business written
• Construct a clear and professional report on each file identifying whether the Financial Planner has met the regulatory and internal compliance requirements.
• Provide both written and verbal feedback to Financial Planners regarding the findings of the review.
• Build rapport with the Financial Planner to ensure that good relationships are maintained.
• Assist with the development of internal systems and process within the monitoring team.
• Provide support to the Directors as required.
• Identify any negative trends and propose a resolution to achieve the required standards.
• Assist with planning and delivering File Review training to Financial Planners and Paraplanners within the firm.
• Assist with Due Diligence exercises as required by the Directors.

Experience and key requirements are:

• Candidates will be level 4 Diploma qualified.
• AF7 (Pension Transfers) and AF8 (Retirement Income Planning) qualifications are desirable.
• Minimum of 3 years financial services industry experience, preferably in a compliance monitoring/file review/technical specialist role
• Excellent attention to detail and analytical ability, with a high standard of both written & verbal communication skills.
• Confident to be able to assist the Director in delivering training and presentations both on a one to one and company wide basis.
• Ability to self-motivate in self-learning and the recording of CPD.
• Diploma in Financial Planning (or equivalent) or working towards this.