File & Compliance Monitor (Remote)

This is a fantastic opportunity to join a dynamic and growing financial services group that is at the forefront of technological innovation and the future of financial advice. As part of their business growth, the opportunity has arisen for an individual to join a dynamic and growing financial services group as a key member of the compliance team.

You will be working closely with and reporting into the Compliance Director with a focus on Compliance Monitoring and file reviews with the objective to support financial compliance, positive client outcomes and risk management. You will have the chance to grow your skills and experience and be provided with the training and support to thrive in the role.

Offering a salary of up to £40,000 depending on experience and fully remote working available if desired - this is an exciting time to be part of a growing team!

The Role:

• Undertaking 'File Reviews’ of client files using a centralised system according to established criteria
• Providing and managing feedback to IFAs
• Undertaking pre-sale checks on client business for certain products and financial advisers
• Undertaking checks of client-facing content (e.g. websites) according to in-house guidance
• Undertake monitoring and supervisory activities that support the compliance framework
• Monitoring IFAs according to the Compliance Monitoring framework
• Providing support where required to ensure all advisors are working to the compliance framework
• Deal with Member queries and provide compliance support as required;
• Perform ad hoc tasks to support general network compliance

Required Skills and Qualifications:

• Minimum 2 years’ experience of working within a financial services role, preferably within a financial advisory business
• Minimum of Level 4 Certificate in Financial Studies or Mortgage Advice
• Technical skills in financial planning, investments and mortgages
• Strong communication skills with comfort via telephone or video conference
• Strong written skills with the ability to craft suitable emails to senior executives
• Strong working knowledge of Microsoft Office and remote working systems (Teams, Zoom)

Benefits:

• 25 days Holiday + Bank Holidays
• Pension scheme
• Death in service available after probation period
• SickPay
• Income Protection

If you are interested, apply now!